About the role
The Cash App Investing team is responsible for a FINRA/SEC-regulated investment business. The Compliance Officer leads the compliance program, advising on product development and regulatory obligations. This role involves managing policies, procedures, and regulatory engagement to ensure responsible growth and strong outcomes.
Our summary of the posting; the original is on the Block careers page.
What the posting requires
- Required
- FINRA
- Supervisory controls
- SEC
- Written supervisory procedures
- Broker-dealers
- Communications review
- Digital investing platforms
- Complaints
- Books and records
- Preferred
- FINRA principal registration
- Series 7
- Series 24
- Series 14
- Series 63
- Series 65
These tags are our reading of the posting. They can miss something; the original posting is the reference.