Brokerage Operations Risk Specialist, Cash App
- Salt Lake City, UT, USA
- Alternate Location: Portland, United States
Loved by customers and pop culture, we’ve consistently held the top spot for finance in the App Store for many years, seeing more engagement with millions of followers across social media in a day than most brands see in a year. We are building an ecosystem to redefine the world’s relationship with money by making it universally accessible.
We want to hire the best talent regardless of location. Our employment model is distributed, offering the opportunity to collaborate with teams across the world in San Francisco, New York, St. Louis, Portland, Toronto, Kitchener-Waterloo, Sydney, and Melbourne.
Interested in learning more?
We've recently introduced Cash App Investing and now you can instantly buy stock in your favorite companies with as little as $1 using our free fractional trading feature! We're looking for a world class leader to be the face of our broker-dealer subsidiary, Cash App Investing LLC. The ideal candidate for this role is someone who has deep experience with operational risk for a carrying broker dealer.
Monitor activities in customer accounts, through the analysis and review of exception surveillance reports.
Review daily brokerage exception reports in best practice with firm written supervisory procedures and operational processes.
Review and action accounts in accordance with firm policy and procedure.
Collaborate with lead, compliance, and risk teams to identify risks and opportunities under the scope of the risk and fraud mitigation area.
Perform daily operational processing functions pertaining to account updates and maintains records in accordance with firms Written Supervisory Procedures.
Provide subject matter expertise on strategic initiatives related to risk functions for the broker-dealer
Document standard operating procedures and job aids.
Identify areas for process improvement and work toward implementation with respective teams.
High-level understanding of SEC / FINRA regulations that pertain to the subject matter.
Collaborate with technical, support, and product teams to facilitate improvements and increase efficiency within the current back office structure for the broker-dealer’s risk operation.
3-5 years of experience in brokerage operations experience with a focus on risk operations.
Deep experience with Looker / Tableau or other data analytics tools preferred.
FINRA Licenses: Series 7, 63, and 99 required. Bonus: Series 24 and/or series 57.
Knowledge and respect for SEC/FINRA regulatory and compliance rules and regulations.
Well experienced in working closely with a broker dealer’s back office team in risk operations.
Someone who thrives in a highly collaborative and fast-paced environment.
Effective verbal and written communication skills.
A passion for our mission of economic empowerment through serving the underserved
We will consider for employment qualified applicants with criminal histories in a manner consistent with each office’s corresponding local guidelines.