Deputy Chief Compliance and AML Officer Jobs

Block

Location:
United States, Bay Area

Category:
Finance

Contract Type:
Not provided

Salary:

135800.00 - 245400.00 USD / Year

Save Job

Apply Position

Job Description:

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.

Job Responsibility:

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
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
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
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
Supervise the broker-dealer's marketing-review program in partnership with the Marketing & Communications Program Manager
Own the compliance document library, including drafting, updating, and securing approvals
ensure adoption
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

Requirements:

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

Nice to have:

CAMS, CRCM, CRCP, or similar industry certification
Data-analytics fluency (SQL/Snowflake, Tableau/Looker) and advanced Excel skills

What we offer:

Healthcare coverage (Medical, Vision and Dental insurance)
Health Savings Account and Flexible Spending Account
Retirement Plans including company match
Employee Stock Purchase Program
Wellness programs, including access to mental health, 1:1 financial planners, and a monthly wellness allowance
Paid parental and caregiving leave
Paid time off (including 12 paid holidays)
Paid sick leave (1 hour per 26 hours worked (max 80 hours per calendar year to the extent legally permissible) for non-exempt employees and covered by our Flexible Time Off policy for exempt employees)
Learning and Development resources
Paid Life insurance, AD&D, and disability benefits

Additional Information:

Job Posted:
December 06, 2025

Employment Type:

Fulltime

Work Type:

Remote work

View All Jobs In This Company

Job Link Share:

Deputy Chief Compliance and AML Officer