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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Expertise in leading compliance programs within regulated financial environments, with a strong focus on broker-dealer obligations, regulatory exams, and product compliance. Proven ability to develop and enhance supervisory controls, advise cross-functional teams, and lead compliance professionals effectively.
Highest-signal resume keywords
10+ Years Of Compliance ExperienceDeep Knowledge Of FINRA And SEC RequirementsExperience In Senior Compliance Leadership RoleStrong Understanding Of Supervisory ControlsFINRA Principal Registration
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Broker-Dealer ComplianceRegulatory FilingsCommunications ReviewRemediation PlansProduct ComplianceRisk-Based Decision MakingMobile-First Investing ProductsEmbedded Financial ServicesClearing Broker OversightRegulated-Entity Reporting
Soft Skills
Strong JudgmentCommunication SkillsLeadershipCoachingAccountability
Certifications & Qualifications
Series 24Series 7Series 14Series 63Series 65Series 66
Industry Keywords
FintechFinancial ServicesSecuritiesCompliance ProgramGovernanceRegulatory ExamsFinancial Crimes ComplianceAMLThird-Party ComplianceDigital Investing Platforms
About the role
Key responsibilities & impact- Lead the Cash App Investing compliance program, including policies, procedures, controls, monitoring, testing, reporting, and governance
- Maintain and enhance written supervisory procedures, supervisory controls, escalation routines, and compliance operating processes
- Advise Product, Engineering, Operations, Marketing, Legal, and business leaders on investing product development, customer communications, and regulated activities
- Oversee broker-dealer compliance obligations, including communications review, complaints, regulatory filings, books and records, employee supervision, product reviews, and issue management
- Lead or support FINRA, SEC, state, and other regulatory exams, inquiries, responses, remediation plans, and regulator engagement
- Partner with Financial Crimes Compliance on AML, suspicious activity monitoring, investigations, fraud, identity theft, and related regulatory expectations
- Oversee compliance considerations for third-party and outsourced functions, including clearing broker and vendor relationships
- Develop reporting for senior leadership, governance forums, and the Board on risks, issues, exams, remediation, and program maturity
- Lead and develop a compliance team with clear ownership, sustainable coverage, and accountability
Requirements
What you’ll need- 10+ years of compliance experience, including significant experience in broker-dealer, securities, fintech, financial services, or similarly regulated environments
- Deep knowledge of FINRA and SEC requirements applicable to retail broker-dealers and digital investing platforms
- Experience serving in a senior compliance, chief compliance officer, deputy CCO, or comparable compliance leadership role
- Experience managing regulatory exams, regulatory inquiries, remediation plans, and regulator communications
- Strong understanding of supervisory controls, written supervisory procedures, communications review, complaints, books and records, regulatory filings, and product compliance
- Experience advising product, engineering, operations, legal, and business teams on regulated financial products
- Strong judgment, communication skills, and ability to make risk-based decisions in ambiguous, fast-moving environments
- Demonstrated ability to lead, coach, and develop compliance professionals
- FINRA principal registration, such as Series 24, or ability to obtain required registrations promptly
- Series 7, Series 14, Series 63/65/66, or other relevant securities registrations
- Experience with mobile-first investing products, embedded financial services, clearing broker oversight, or fintech broker-dealer models
- Experience supporting Board-level governance and regulated-entity reporting
Benefits
Comp & perks- Remote work
- Medical insurance
- Flexible time off
- Retirement savings plans
- Modern family planning
- Reasonable accommodations throughout the recruitment process