Compliance Testing & Monitoring Program Manager, Cash App

  • San Francisco, CA
  • Employees can work remotely
  • Full-time
  • Alternate Location: St. Louis, United States
  • Position open to remote: Yes

Company Description

Square builds common business tools in unconventional ways so more people can start, run, and grow their businesses. When Square started, it was difficult and expensive (or just plain impossible) for some businesses to take credit cards. Square made credit card payments possible for all by turning a mobile phone into a credit card reader. Since then Square has been building an entire business toolkit of both hardware and software products including Square Capital, Square Terminal, Square Payroll, and more. We’re working to find new and better ways to help businesses succeed on their own terms—and we’re looking for people like you to help shape tomorrow at Square.

Job Description

You will support Square's compliance mission by working side-by-side with compliance, counsel, and business personnel to foster a culture of effective risk management. You will support the Compliance Testing and Monitoring program by performing audit-like independent compliance testing and monitoring compliance reviews. This includes testing and monitoring the operating and control environment of our broker-dealer subsidiary, Cash App Investing LLC (CAI). The scope of your work will involve, but will not be limited to, FINRA, SEC, BSA/AML, GLBA, OFAC, TCPA/TSR, and UDAAP requirements. 

You will:

  • Plan, scope, document, and execute independent compliance testing and validation reviews as well as monitoring activities.
  • Test the adequacy and effectiveness of the operating and control environment such as broker-dealer policies, procedures, processes, and systems. Conduct reviews and queries of multiple databases and systems.
  • Develop a deep understanding of Cash App products and the broker-dealer compliance program. 
  • Develop and cultivate collaborative business relationships with stakeholders. Communicate compliance issues and prepare compliance reports by collecting, analyzing, and storing accurate and verifiable information.
  • Help with examinations and inquiries from the SEC, FINRA, and/or state examinations as needed.
  • Monitor consumer complaints for potential compliance matters. Consult with corporate attorneys to address complex compliance issues.
  • Maintain knowledge of applicable broker-dealer compliance laws and regulations and identify latest compliance risks.
  • May participate in special projects

Qualifications

You have:

  • 4-year undergraduate degree (minimum) Bachelor's Degree required

  • 3 years of experience required in compliance testing or audit

  • A strong understanding of broker-dealer operations and risks

  • Effective written and verbal communication skills

  • Strong organizational skills

  • Experience building relationships and establishing trust and credibility with business leads, financial institution partners, and regulators through collaborative and independent initiatives

  • Experience in conducting database queries and managing multifaceted projects

Even better:

  • FINRA licensing: Series 7, 24, 63, and 66

Additional Information

At Square, we value diversity and always treat all employees and job applicants based on merit, qualifications, competence, and talent. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We will consider for employment qualified applicants with criminal histories in a manner consistent with the requirements of the San Francisco Fair Chance Ordinance. Applicants in need of special assistance or accommodation during the interview process or in accessing our website may contact us by sending an email to assistance(at)squareup.com. We will treat your request as confidentially as possible. In your email, please include your name and preferred method of contact, and we will respond as soon as possible.

Perks

At Square, we want you to be well and thrive. Our global benefits package includes:
  • Healthcare coverage
  • Retirement Plans
  • Employee Stock Purchase Program
  • Wellness perks
  • Paid parental leave
  • Paid time off
  • Learning and Development resources