Deputy Chief Compliance and AML Officer - Cash App Investing

The Role
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.
You Will

• Regulatory Oversight & Licensing
  • 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.
• Strategic Leadership & Governance
  • 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.
• BSA/AML & Sanctions (Primary AML Officer)
  • 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.
• Regulatory Interaction & Exam Management
  • 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.
• Marketing and Communications Oversight
  • Supervise the broker-dealer's marketing-review program in partnership with the Marketing & Communications Program Manager.
• Policy & Documentation
  • Own the compliance document library, including drafting, updating, and securing approvals; ensure adoption.
• Cross-Functional Partnership & Culture
  • 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.

You Have

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

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, based solely on the core competencies required of the role at hand, and without regard to any 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 an inclusive workplace? Check out our Inclusion & Diversity page
Full-time employee benefits include the following:

• 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

These benefits are further detailed in Block's policies. 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.
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.
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.
Zone A:
$163,600 - $245,400 USD
Zone B:
$152,200 - $228,200 USD
Zone C:
$144,000 - $216,000 USD
Zone D:
$135,800 - $203,600 USD
Use of AI in Our Hiring Process
We may use automated AI tools to evaluate job applications for efficiency and consistency. These tools comply with local regulations, including bias audits, and we handle all personal data in accordance with state and local privacy laws.
Contact us at [email protected] with hiring practice or data usage questions.
Every benefit we offer is designed with one goal: empowering you to do the best work of your career while building the life you want. Remote work, medical insurance, flexible time off, retirement savings plans, and modern family planning are just some of our offering. Check out our other benefits at Block.
Block, Inc. (NYSE: XYZ) builds technology to increase access to the global economy. Each of our brands unlocks different aspects of the economy for more people. Square makes commerce and financial services accessible to sellers. Cash App is the easy way to spend, send, and store money. Afterpay is transforming the way customers manage their spending over time. TIDAL is a music platform that empowers artists to thrive as entrepreneurs. Bitkey is a simple self-custody wallet built for bitcoin. Proto is a suite of bitcoin mining products and services. Together, we're helping build a financial system that is open to everyone.