Front Office Brokerage Operations Lead
The Front Office Brokerage Operations Lead at Block is a pivotal role within Cash App Investing, responsible for supervising a team of specialized professionals in quality management, regulatory compliance, customer service, process engineering, and oversight of business process outsourcing (BPO) partners. This position holds direct FINRA-mandated supervisory authority over personnel and processes, ensuring adherence to financial regulations while delivering an exceptional investing experience to millions of Cash App customers.
Key responsibilities include serving as the designated Series 24 supervisory principal under FINRA Rule 3110, overseeing the FINRA complaints program to ensure timely identification and reporting of reportable complaints, and providing sign-off authority for the Books & Records FINRA Attestation. The role also involves supervising AI-generated brokerage communications to meet FINRA's "human in the loop" requirement, managing remediation protocols for account adjustments, and ensuring regulatory communications comply with FINRA guidelines across all customer-facing touchpoints.
The ideal candidate will possess active FINRA Series 7, 63, and 24 licenses, with a minimum of 7 years of experience in brokerage operations and at least 5 years in a leadership role. A strong understanding of securities industry regulations and compliance requirements is essential, along with exceptional leadership and coaching abilities, analytical and problem-solving skills, and proficiency in data analysis and reporting. Experience with customer service metrics, workforce management systems, and project management is also required.
Block offers a competitive compensation package, including a base salary ranging from $83,900 to $125,900 annually, depending on location and experience. Benefits encompass remote work options, comprehensive medical insurance, flexible time off, retirement savings plans, and modern family planning support. The company fosters a culture of innovation, collaboration, and impact, providing employees with opportunities for professional growth and development within a dynamic and inclusive environment.