Deputy Chief Compliance and AML Officer - Cash App Investing

8+ years of broker-dealer compliance experience, including leadership experience. Active FINRA Series 7, 63 and 24 registrations. Demonstrated success scaling a compliance program in a fast-growing fintech or comparable environment. Hands-on experience with regulatory exams and interaction. Deep working knowledge of SEC/FINRA rules, BSA/AML, OFAC, and state securities regulations. 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 (preferred). Data-analytics fluency (SQL/Snowflake, Tableau/Looker) and advanced Excel skills (preferred).

Serve as registered principal of the broker-dealer and maintain required securities licenses. Ensure CAI activities comply with all broker-dealer laws and internal policies. Act as day-to-day deputy for the CCO and assume duties during absences. Oversee annual enterprise Compliance Risk Assessment and present results. Oversee audits and testing, including scoping, execution, issue tracking, and remediation verification. Prepare and present materials for Board and leadership meetings. Manage the end-to-end AML program, including KYC/CDD, transaction monitoring, and sanctions screening. Oversee outsourced AML functions. Drive independent audits and close findings. Represent CAI in FinCEN, OFAC, and state AML examinations. Coordinate SEC, FINRA, and state exams. Oversee post-exam remediation and regulatory change-management processes. Supervise the broker-dealer's marketing-review program. Own the compliance document library, including drafting, updating, and approving policies. Advise cross-functional partners on regulatory requirements. Design and deliver annual compliance and AML training. Model a positive, accountability-driven compliance culture.