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Deputy Chief Compliance and AML Officer

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Location:
United States , Bay Area

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Category:
Finance

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Contract Type:
Not provided

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Salary:

135800.00 - 245400.00 USD / Year
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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
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