Cash App Investing LLC (CAI) needs to ensure the ongoing effectiveness of its broker-dealer compliance program and safeguard the firm against money-laundering, terrorist-financing, and sanctions risk by appointing a delegate for the Chief Compliance Officer (CCO) and serving as the BSA/AML Officer.
Requirements
- Active FINRA Series 7, 63 and 24 registrations.
- Deep working knowledge of SEC/FINRA rules, BSA/AML, OFAC, and state securities regulations.
- Data-analytics fluency (SQL/Snowflake, Tableau/Looker) and advanced Excel skills.
Responsibilities
- Serve as a registered principal of the broker-dealer; maintain required securities licenses.
- Ensure CAI's activities comply with all broker-dealer laws and internal policies.
- Oversee the annual enterprise Compliance Risk Assessment and present results to senior leadership and Board committees.
- Oversee audits and testing - scoping, execution, issue tracking, and remediation verification.
- Manage the end-to-end AML program, including KYC/CDD, transaction monitoring, and sanctions screening.
- Oversee outsourced AML functions to ensure continued effectiveness.
- Coordinate SEC, FINRA, and state exams, including data gathering, interviews, and responses, in partnership with the Program Manager.
Other
- 8+ years of broker-dealer compliance experience, including leadership experience.
- Demonstrated success scaling a compliance program in a fast-growing fintech or comparable environment.
- Hands-on experience with regulatory exams and interaction.
- Strong policy-drafting, problem-solving, and executive-level communication skills.
- Demonstrated success collaboration cross-functionally with product, operations, legal, and executive teams.
- CAMS, CRCM, CRCP, or similar industry certification.
