Cash App Investing Compliance Analyst, Block

• 3+ years of broker-dealer compliance experience
• Currently hold (or have previously held and willing to obtain within 120 days) FINRA Licenses: Series 7, Series 63 and Series 24
• The ability to effectively communicate across various lines of business and with senior management
• Experience handling, investigating, or managing customer complaints and supervision of communications for a financial services company
• Respect for and interest in financial rules and regulations, as well as an eagerness to innovate and drive the industry forward
• The ability to identify and define problems, build project plans to address them, and manage implementation of their solutions

Desirable

• The Compliance team is looking for a Compliance Analyst to support foundational areas of the broker-dealer compliance program for our subsidiary, Cash App Investing LLC (CAI)
• This person will report directly to the Chief Compliance Officer (CCO) of Cash App Investing
• The Compliance Analyst is responsible for supporting compliance efforts of CAI by ensuring compliance with internal policies and procedures, as well as broker-dealer applicable laws and regulations
• Act as a registered principal of the broker-dealer and be required to maintain the following securities licenses: Series 7, Series 63 and Series 24
• Develop and deliver CAI’s annual Firm Element training to registered representatives of the broker dealer
• Monitor the firm’s continuing education training program and develop report(s) to illustrate status and deadlines, on a periodic basis
• Conduct review and appropriately triage customer complaints from Salesforce reports, including customer complaint logging and escalation investigation
• Create and maintain customer complaint files
• Perform regular reviews of CAI customer and internal communications and evidence supervisory oversight
• Test the firm’s record keeping archiving capabilities to ensure CAI records are properly distributed, managed, and archived in the appropriate storage location(s)
• Manage CAI’s record-keeping program and ensure adherence to FINRA and SEC record-keeping requirements
• Assist with drafting and updating CAI’s policies, procedures and other documentation, including documentation shared cross-functionally
• Support the compliance function in executing departmental plans, maintaining relevant policies and procedures, and liaising with auditors
• Provide compliance subject matter expertise to support cross-functional teams
• Support the CAI compliance program to ensure management of corporate and legal obligations, appropriate controls, and adherence to regulatory requirements