Senior Level Compliance Officer Jobs
Senior level compliance officer jobs put experienced professionals in charge of program strategy, regulatory frameworks, and the teams and initiatives that keep organizations in full standing. Openings concentrate in Insurance, Banking & Financial Services, and Education, with a 27% remote and hybrid share, and employers like National Life, Block, and Jobot hiring at this level now.
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Showing 4 of 17+ Senior Level Compliance Officer jobs
INTRODUCTION
It all started with an idea at Block in 2013. 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 ecosystem, developing unique financial products, including Afterpay/Clearpay, to provide a better way to send, spend, invest, borrow and save to our 50+ million monthly active customers. We want to redefine the world's relationship with money to make it more relatable, instantly available, and universally accessible.
Today, Cash App has thousands of employees working globally across office and remote locations, with a culture geared toward innovation, collaboration and impact. We've been a distributed team since day one, and many of our roles can be done remotely from the countries where Cash App operates. No matter the location, we tailor our experience to ensure our employees are creative, productive, and happy.
THE ROLE
Cash App Investing is seeking a Compliance Officer to lead and mature the compliance program for its FINRA/SEC-regulated investing business. Reporting to the Head of Global Regulated Entities at Block, you will provide senior compliance leadership across broker-dealer obligations, product advisory, regulatory engagement, governance, and team execution. This role will partner closely with Cash App Investing leadership, Product, Engineering, Legal, Risk, Financial Crimes, Operations, and Internal Audit to support responsible growth and strong regulatory outcomes.
YOU WILL
- 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 core 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 clear 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 strong accountability.
YOU HAVE
- 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.
EVEN BETTER
- 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.
We're working to build a more inclusive economy where our customers have equal access to opportunity, and we strive to live by these same values in building our workplace. Block is an equal opportunity employer evaluating all employees and job applicants without regard to identity or any legally protected class. We will consider qualified applicants with arrest or conviction records for employment in accordance with state and local laws and "fair chance" ordinances.
We believe in being fair, and are committed to an inclusive interview experience, including providing reasonable accommodations to disabled applicants throughout the recruitment process. We encourage applicants to share any needed accommodations with their recruiter, who will treat these requests as confidentially as possible. Want to learn more about what we're doing to build a workplace that is fair and square? Check out our I+D page.
While there is no specific deadline to apply for this role, U.S. roles are typically open for an average of 55 days before being filled by a successful candidate. Please refer to the date listed at the top of this job page for when this role was first posted.
APPLICATION GUIDELINES
Candidates may submit up to 9 active applications within a 60-day period. Reapplications to the same role are accepted 90 days after a previous application has been reviewed.
USE OF AI IN OUR HIRING PROCESS
We may use automated AI tools to evaluate job applications for efficiency and consistency. These tools comply with local regulations, including bias audits, and we handle all personal data in accordance with state and local privacy laws.
Contact us here with hiring practice or data usage questions.
Every benefit we offer is designed with one goal: empowering you to do the best work of your career while building the life you want. Remote work, medical insurance, flexible time off, retirement savings plans, and modern family planning are just some of our offering. Check out our other benefits at Block.
Block, Inc. (NYSE: XYZ) builds technology to increase access to the global economy. Each of our brands unlocks different aspects of the economy for more people. Square makes commerce and financial services accessible to sellers. Cash App is the easy way to spend, send, and store money. Afterpay is transforming the way customers manage their spending over time. TIDAL is a music platform that empowers artists to thrive as entrepreneurs. Bitkey is a simple self-custody wallet built for bitcoin. Proto is a suite of bitcoin mining products and services. Together, we're helping build a financial system that is open to everyone.
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INTRODUCTION
It all started with an idea at Block in 2013. 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 ecosystem, developing unique financial products, including Afterpay/Clearpay, to provide a better way to send, spend, invest, borrow and save to our 50+ million monthly active customers. We want to redefine the world's relationship with money to make it more relatable, instantly available, and universally accessible.
Today, Cash App has thousands of employees working globally across office and remote locations, with a culture geared toward innovation, collaboration and impact. We've been a distributed team since day one, and many of our roles can be done remotely from the countries where Cash App operates. No matter the location, we tailor our experience to ensure our employees are creative, productive, and happy.
THE ROLE
Cash App Investing is seeking a Compliance Officer to lead and mature the compliance program for its FINRA/SEC-regulated investing business. Reporting to the Head of Global Regulated Entities at Block, you will provide senior compliance leadership across broker-dealer obligations, product advisory, regulatory engagement, governance, and team execution. This role will partner closely with Cash App Investing leadership, Product, Engineering, Legal, Risk, Financial Crimes, Operations, and Internal Audit to support responsible growth and strong regulatory outcomes.
YOU WILL
- 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 core 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 clear 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 strong accountability.
YOU HAVE
- 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.
EVEN BETTER
- 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.
We're working to build a more inclusive economy where our customers have equal access to opportunity, and we strive to live by these same values in building our workplace. Block is an equal opportunity employer evaluating all employees and job applicants without regard to identity or any legally protected class. We will consider qualified applicants with arrest or conviction records for employment in accordance with state and local laws and "fair chance" ordinances.
We believe in being fair, and are committed to an inclusive interview experience, including providing reasonable accommodations to disabled applicants throughout the recruitment process. We encourage applicants to share any needed accommodations with their recruiter, who will treat these requests as confidentially as possible. Want to learn more about what we're doing to build a workplace that is fair and square? Check out our I+D page.
While there is no specific deadline to apply for this role, U.S. roles are typically open for an average of 55 days before being filled by a successful candidate. Please refer to the date listed at the top of this job page for when this role was first posted.
APPLICATION GUIDELINES
Candidates may submit up to 9 active applications within a 60-day period. Reapplications to the same role are accepted 90 days after a previous application has been reviewed.
USE OF AI IN OUR HIRING PROCESS
We may use automated AI tools to evaluate job applications for efficiency and consistency. These tools comply with local regulations, including bias audits, and we handle all personal data in accordance with state and local privacy laws.
Contact us here with hiring practice or data usage questions.
Every benefit we offer is designed with one goal: empowering you to do the best work of your career while building the life you want. Remote work, medical insurance, flexible time off, retirement savings plans, and modern family planning are just some of our offering. Check out our other benefits at Block.
Block, Inc. (NYSE: XYZ) builds technology to increase access to the global economy. Each of our brands unlocks different aspects of the economy for more people. Square makes commerce and financial services accessible to sellers. Cash App is the easy way to spend, send, and store money. Afterpay is transforming the way customers manage their spending over time. TIDAL is a music platform that empowers artists to thrive as entrepreneurs. Bitkey is a simple self-custody wallet built for bitcoin. Proto is a suite of bitcoin mining products and services. Together, we're helping build a financial system that is open to everyone.
Privacy Policy
See All 17 Senior Level Compliance Officer Jobs
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Who's Hiring
Top Industries Hiring
- Insurance
- Banking & Financial Services
- Education
- Staffing & Recruiting
- Manufacturing
Senior Level Compliance Officer Jobs: Frequently Asked Questions
How do I get a senior level compliance officer job?
Employers at this level want candidates who can own a compliance program, not just execute within one. Demonstrate experience leading audits, building or overhauling policies, and advising leadership on regulatory risk. Credentials like a CCEP, CRCM, or JD sharpen a candidacy, but documented outcomes, such as successful regulatory examinations or remediation programs you led, tend to carry the most weight.
Which companies hire senior level compliance officers?
Companies hiring senior level compliance officers right now include National Life, Block, and Jobot, based on current listings on Migrate Mate as of November 2026. Hiring at this level tends to concentrate in heavily regulated organizations, including financial institutions, health systems, and large enterprises with complex multi-jurisdictional obligations.
Are there remote senior level compliance officer jobs?
Yes, though availability varies by industry and employer. About 27% of senior level compliance officer openings are remote or hybrid as of November 2026, making flexibility more common at this stage than in earlier career roles. Highly regulated sectors like banking and healthcare tend to prefer hybrid arrangements for roles with direct oversight responsibilities.
What makes a compliance officer role senior level?
Senior level compliance officer roles are distinguished by program ownership, strategic scope, and accountability for outcomes rather than task execution. These positions typically require setting compliance direction across a business unit or organization, advising executives and boards, managing or mentoring junior staff, and leading responses to regulatory examinations, enforcement actions, or significant policy changes.
Which industries hire the most senior level compliance officers?
Senior Level compliance officer roles concentrate in Insurance, Banking & Financial Services, and Education, based on current listings on Migrate Mate as of November 2026. These sectors drive demand because their regulatory exposure, reporting requirements, and enforcement risk make experienced compliance leadership a core operational need rather than a support function.