Compliance Testing & Monitoring Program Manager, Cash App
- San Francisco, CA
- Employees can work remotely
- Alternate Location: St. Louis, United States
- Position open to remote: Yes
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.
- 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
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
FINRA licensing: Series 7, 24, 63, and 66
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