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Square Brokerage Operations Account Monitoring Specialist, Cash App in Portland, Oregon

We've recently introduced Cash App Investing and now you can instantly buy stock in your favorite companies with as little as $1 using our free fractional trading feature! We're looking for a world class leader to be the face of our broker-dealer subsidiary, Cash App Investing LLC. The ideal candidate for this role is someone who has a deep experience with account management for a carrying broker dealer.

You will:

  • Monitor activities in customer accounts, through the analysis and daily review of exception surveillance reports.

  • Review daily brokerage account openings in best practice with firm CIP requirements.

  • Observe and enhance the brokerage operations onboarding process to improve customer onboarding and risk strategies at scale.

  • Collaborates with lead and compliance teams to identify risks and opportunities pertaining to best practices on customer account requirements.

  • Performs daily operational processing functions pertaining to account updates and maintains records in accordance with firms Written Supervisory Procedures.

  • Provide subject matter expertise on strategic initiatives related to trading functions.

  • Document standard operating procedures and job aids.

  • Identify areas for process improvement and work toward implementation.

  • High-level understanding of FINRA Rule 4512.

  • Manage special projects for audits and exams as needed in collaboration with different teams.

  • Collaborates with technical teams to facilitate improvements and increase efficiency within the current back office structure for the customer account structure.

You have:

  • 3-5 years of experience in brokerage operations experience with a focus on account management.

  • Deep experience with Looker / Tableau or other data analytics tools preferred.

  • FINRA Licenses: Series 7, 63, and 99 required. Bonus: Series 24 and/or series 57.

  • Knowledge and respect for SEC/FINRA regulatory and compliance rules and regulations.

  • Well experienced in working closely with a broker dealer’s back office team in account monitoring supervision.

  • Someone who thrives in a highly collaborative and fast-paced environment.

  • Effective verbal and written communication skills.

  • Appreciation and desire for innovation within the securities industry

  • Ability to quickly learn proprietary web-based back office applications

  • A “trust, but verify” mentality

  • A customer-first belief

  • A passion for our mission of economic empowerment through serving the underserved

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Cash App treats all employees and job applicants equally. Every decision is based on merit, qualifications, 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 each office’s corresponding local guidelines.

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