Careers - Front Office Brokerage Operations Lead

Block

Actively hiring Verified listing
Bay Area, CA Posted 12 days ago
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At a glance

AI generated

TL;DR

As the Front Office Brokerage Operations Lead at Cash App Investing, you will serve as a Series 24 registered principal overseeing a team of specialized individual contributors in quality management, regulatory complaints, customer service, and process engineering. Your day-to-day responsibilities include supervising high-exposure workflows, ensuring compliance with FINRA regulations, and leveraging AI for operational excellence while maintaining strict regulatory standards. You must have extensive experience in brokerage operations, people leadership within regulated environments, and a deep understanding of FINRA supervisory requirements. Key skills include managing BPO partners, optimizing service levels, and driving process improvements using data analytics. This role is crucial in building the future of AI-driven brokerage operations while ensuring exceptional customer experiences and regulatory compliance for millions of users.

Skills

FINRA Python SQL CRM platforms Jira Asana Google Workspace Confluence LLM tools UKG Kronos Salesforce AI ML Process engineering Operational transformation Workforce management systems Data-driven decision-making FINRA Rule 3110 FINRA Rules 4513/4530 FINRA Rule 4511 SEC regulatory frameworks

What you'll do

  • Serve as the designated Series 24 supervisory principal under FINRA Rule 3110.
  • Oversee AI-generated brokerage communications to meet FINRA's "human in the loop" requirement.
  • Maintain supervisory authority over remediation and target resolve protocols for regulatory compliance.
  • Ensure all customer-facing communications comply with FINRA guidelines across touchpoints.
  • Supervise high-exposure Tier 2 escalation workflows including ATOs, identity theft investigations.
  • Directly manage a team of specialized individual contributors in quality management and complaints.

What we're looking for

  • Hold active FINRA Series 7, 63, and Series 24 licenses.
  • Have 5+ years of brokerage operations or financial services experience.
  • Manage teams in regulated environments for at least 3 years.
  • Understand FINRA supervisory requirements including Rule 3110.
  • Experience managing regulatory complaint programs under FINRA rules.
  • Balance compliance rigor with customer experience effectively.
  • Strong analytical skills and proficiency in data-driven decision-making.

Market check

Salary context

This listing doesn't show a salary. Similar roles on FindRole typically pay $142,320–$220,000.

Peer median band

$142,320–$220,000

Median floor and ceiling across peers.

Typical midpoint (25–75%)

$152,962–$208,600

Middle half of comparable postings.

Based on 238 comparable postings.

* 240 is the maximum number of comparable postings sampled.

Employer

About Block

Block, Inc. (formerly Square) is a financial technology company operating the Square merchant payments ecosystem, Cash App peer-to-peer payments, TIDAL music streaming, and Bitcoin-focused financial services. Industry: Financial Technology & Payments

Block currently has 43 open roles on FindRole.

Listed pay typically runs $180,000–$270,000 across 42 roles with salary data.

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View all roles at Block

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