Compliance Analyst, Cash App Investing

  • San Francisco, CA
  • Employees can work remotely
  • Full-time

Company Description

Cash App is the fastest growing financial brand in the world. 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 app with over 30 million monthly active users. We are bringing a better way to send, spend, invest, and save to anyone who has ever sought an alternative to the traditional banking system. 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, Oakland, New York, St. Louis, Portland, Toronto, Kitchener-Waterloo, Sydney, Melbourne, London, Ireland, Spain, and Lithuania

Job Description

The Cash App Compliance team is looking for a Compliance Analyst to support foundational areas of our compliance program for our broker-dealer subsidiary, Cash App Investing (CAI). We are looking for someone with experience in broker-dealer / FINRA regulatory compliance and other supervisory and surveillance activities across a retail investing business. In addition to daily oversight operations within CAI’s communications and complaints programs, you will participate in supplementary efforts to maintain compliance and support the investment arm of the fastest growing, mobile consumer financial application. You will be an essential member of CAI’s Compliance function, ensuring governance and surveillance of CAI’s programs.

 You Will:

  • Support the CAI compliance program to ensure management of corporate and legal obligations, appropriate controls, and adherence to regulatory requirements

  • Participate in customer trade surveillance by reviewing AML and federal securities violation exceptions generated by third-party vendor tools

  • Conduct review and appropriately triage customer complaints from Salesforce reports, including customer complaint logging and escalation investigation

  • Review weekly reports generated by third-party surveillance vendors

  • Monitor public-facing communication channels to mitigate firm risk

  • Build archiving tests to ensure CAI communications are properly distributed, managed, and archived

  • Participate in and assist on other compliance programs across employee activity oversight, surveillance and monitoring

  • Support the compliance function in defining and achieving departmental plans, maintaining relevant policies and procedures, and liaising with auditors

Qualifications

Must Have:

  • 3+years of broker-dealer regulatory compliance experience

  • Hold or have previously held FINRA Licenses: Series 7 and Series 24 or be willing to get licenses with the sponsorship of CAI

  • Experience handling, investigating, or managing customer complaints and supervision of communications for a financial services company

Even Better:

  • Experience evaluating compliance tools and workflow systems

  • Ability to work with individuals across business lines, including product teams, operations groups, legal teams, project management, and executive leadership

  • Experience leveraging systems such as: Salesforce, Surveyor, Smarsh & Erado

  • Proficiency in Excel

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

Square, Inc. (NYSE: SQ) builds tools to empower businesses and individuals to participate in the economy. Sellers use Square to reach buyers online and in person, manage their business, and access financing. Individuals use Cash App to spend, send, store, and invest money. And TIDAL is a global music and entertainment platform that expands Square's purpose of economic empowerment to artists. Square, Inc. has offices in the United States, Canada, Japan, Australia, Ireland, Spain, Norway, and the UK.

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