YOU WILL

• Regulatory Oversight & Licensing
• 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.
• Strategic Leadership & Governance
• Act as day-to-day deputy for the CCO; assume duties during absences.
• 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.
• Prepare and, when requested, present materials for Board and leadership meetings.
• BSA/AML & Sanctions (Primary AML Officer)
• Manage the end-to-end AML program, including KYC/CDD, transaction monitoring, and sanctions screening.
• Oversee outsourced AML functions to ensure continued effectiveness.
• Drive independent audits and close findings.
• Represent CAI in FinCEN, OFAC, and state AML examinations.
• Regulatory Interaction & Exam Management
• Coordinate SEC, FINRA, and state exams, including data gathering, interviews, and responses, in partnership with the Program Manager.
• Oversee post-exam remediation and regulatory change-management processes.
• Marketing and Communications Oversight
• Supervise the broker-dealer’s marketing-review program in partnership with the Marketing & Communications Program Manager.
• Policy & Documentation
• Own the compliance document library, including drafting, updating, and securing approvals; ensure adoption.
• Cross-Functional Partnership & Culture
• Advise cross-functional partners (e.g., Operations, Product, and Engineering) on regulatory requirements.
• Design and deliver annual compliance and AML training.
• Model a positive, accountability-driven compliance culture.

This fully remote role reports to the Chief Compliance Officer (CCO) of Cash App Investing LLC (CAI). You will: (1) act as the CCO’s delegate to ensure the ongoing effectiveness of CAI’s broker-dealer compliance program; and (2) serve as CAI’s BSA/AML Officer, safeguarding the firm against money-laundering, terrorist-financing, and sanctions risk. The ideal candidate combines deep SEC/FINRA and BSA/AML expertise with the ability to scale controls in a high-growth fintech environment and thrives in a rapid-change environment.