Cash App Investing Compliance Analyst

  • Full-time

Company Description

It all started with an idea at Block in 2013. Initially built to take the pain out of peer-to-peer payments, Cash App has gone from a simple product with a single purpose to a dynamic ecosystem, developing unique financial products, including Afterpay, to provide a better way to send, spend, invest, borrow and save to our 47 million monthly active customers. We want to redefine the world’s relationship with money to make it more relatable, instantly available, and universally accessible. This is our mission, and it’s why working at Cash App means so much more than a job.

Today, Cash App has thousands of employees working globally across office and remote locations, with a culture geared toward innovation, collaboration and impact. We’ve been a distributed team since day one, and many of our roles can be done remotely from the countries where Cash App operates. No matter the location, we tailor our experience to ensure our employees are creative, productive, and happy.

Check out our locations, benefits, and more at!

Job Description

Cash App offers a feature called Cash App Investing, which allows customers to open a brokerage account and buy stock with as little as $1 using our fractional trading feature! 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. 

We are looking for someone with experience dealing with federal and state securities regulations, particularly rules issued by the SEC and FINRA. An ideal candidate is expected to have experience overseeing compliance, supervisory and surveillance activities across a retail brokerage service business. In addition to the daily operations within CAI’s Compliance program, you will participate in supplementary efforts to maintain compliance and support the broker-dealer activities 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. The ideal candidate for this role is someone who has experience working for a registered broker-dealer in a role focused on FINRA and SEC compliance. 

You Will:

  • 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
  • Draft ad-hoc and exam-related regulatory responses for final approval by the CCO
  • Manage FINRA and state registration filings, including FINRA Form U4, NRF, Form U5, Form BD, etc.
  • Monitor regulatory reports and escalate as needed to the CCO
  • Perform annual supervisory system testing in accordance with the requirements set forth in FINRA Rule 3120
  • Perform branch, OSJ and non-branch location inspections in accordance with requirements set forth in FINRA Rule 3110
  • Manage requests related to CAI’s annual Anti-Money Laundering testing program
  • Manage requests related to Block’s internal testing and monitoring program
  • Manage requests related to vendor due diligence reviews
  • Assist with the preparation of materials for meetings with regulators
  • Support the CAI compliance program to ensure management of corporate and legal obligations, appropriate controls, and adherence to regulatory requirements
  • Support the compliance function in achieving departmental plans, maintaining and updating relevant policies and procedures, and liaising with auditors, if applicable
  • Provide compliance subject matter expertise to support cross-functional teams


You have:

  • 3+ years of experience working within the compliance function of a registered broker-dealer, bank or financial service institution
  • Currently hold (or have previously held and willing to obtain within 120 days) FINRA Series Licenses: Series 7, Series 63 and Series 24
  • Technical knowledge in the securities laws and regulations administered by the SEC and FINRA to regulate broker-dealer activities
  • Respect for and interest in financial rules and regulations, as well as an eagerness to innovate and drive the industry forward
  • An ability to engage in complex problem-solving, develop project plans and implement solutions to address compliance and operational gaps
  • Strong interpersonal, communication, writing and verbal skills and able to communicate across multiple levels of the organization in different time zones and locations

Preferred Experience:

  • Prior experience within a financial technology company
  • Experience using compliance tools and workflow systems
  • Experience using systems such as: FINRA Gateway, Google Suite and Slack
  • Proficiency in Excel

Additional Information

Block takes a market-based approach to pay, and pay may vary depending on your location. U.S. locations are categorized into one of four zones based on a cost of labor index for that geographic area. The successful candidate’s starting pay will be determined based on job-related skills, experience, qualifications, work location, and market conditions. These ranges may be modified in the future.

Zone A: USD $94,400 - USD $115,400
Zone B: USD $87,800 - USD $107,400
Zone C: USD $80,300 - USD $98,100
Zone D: USD $70,800 - USD $86,600

To find a location’s zone designation, please refer to this resource. If a location of interest is not listed, please speak with a recruiter for additional information. 

Benefits include the following:

  • Healthcare coverage
  • 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
  • Learning and Development resources
  • Paid Life insurance, AD&D. and disability benefits 
  • Perks such as WFH reimbursements and free access to caregiving, legal, and discounted resources 

This role is also eligible to participate in Block's equity plan subject to the terms of the applicable plans and policies, and may be eligible for a sign-on bonus. Sales roles may be eligible to participate in a commission plan subject to the terms of the applicable plans and policies. Pay and benefits are subject to change at any time, consistent with the terms of any applicable compensation or benefit plans.

We’re working to build a more inclusive economy where our customers have equal access to opportunity, and we strive to live by these same values in building our workplace. Block is a proud equal opportunity employer. We work hard to evaluate all employees and job applicants consistently, without regard to race, color, religion, gender, national origin, age, disability, veteran status, pregnancy, gender expression or identity, sexual orientation, citizenship, or any other legally protected class. 

We believe in being fair, and are committed to an inclusive interview experience, including providing reasonable accommodations to disabled applicants throughout the recruitment process. We encourage applicants to share any needed accommodations with their recruiter, who will treat these requests as confidentially as possible. Want to learn more about what we’re doing to build a workplace that is fair and square? Check out our I+D page

Additionally, we consider qualified applicants with criminal histories for employment on our team, assessing candidates in a manner consistent with the requirements of the San Francisco Fair Chance Ordinance.

Block, Inc. (NYSE: SQ) is a global technology company with a focus on financial services. Made up of Square, Cash App, Spiral, TIDAL, and TBD, we build tools to help more people access the economy. Square helps sellers run and grow their businesses with its integrated ecosystem of commerce solutions, business software, and banking services. With Cash App, anyone can easily send, spend, or invest their money in stocks or Bitcoin. Spiral (formerly Square Crypto) builds and funds free, open-source Bitcoin projects. Artists use TIDAL to help them succeed as entrepreneurs and connect more deeply with fans. TBD is building an open developer platform to make it easier to access Bitcoin and other blockchain technologies without having to go through an institution.

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