Job Description

We 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 hiring a Brokerage Operations Specialist to support our Back Office functions of our Broker-Dealer. You will play an important role in our growing broker-dealer subsidiary, Cash App Investing LLC located in Portland Oregon. You will report to the Brokerage Operations Manager and perform the important daily back-office functions of our broker-dealer including opening new accounts, reconciling trades, processing corporate actions notifications, and reviewing exceptions.

YOU WILL:

• Review and open new brokerage account applications as needed
• Observe and enhance the brokerage operations onboarding process to improve customer onboarding and risk strategies at scale 
• Handle exception and reconciliation reports, and help perform risk reporting and controls 
• Observe the accurate processing of corporate actions as needed and notify customers of relevant corporate actions
• Resolve trade errors and process trade corrections with the Brokerage Operations and Engineering partners 
• Process all work daily to maintain excellent service levels; work in service queues to support Front-Office functions as needed and maintain SLAs
• Maintain a close collaborative working relationship with our internal partners across all lines of business to scale Cash App Investing products, tools, and systems
• Monitor and review daily exception reports, and evaluate findings using internal procedures
• Review outgoing account transfers and close open positions or request transfer extensions
• Work with the Brokerage Operations manager to update policies and procedures and keep documents current
• Manage and file records in compliance with our record keeping policy
• Manage special projects for audits and exams as needed in collaboration with the Brokerage Operations Manager

Qualifications

MUST HAVE:

• Licenses: Series 7, 63; ability to study for and obtain Series 24 within the first 3 months of hire
• 2+ years of experience in broker-dealer or financial operations 
• Knowledge and respect for SEC/FINRA regulatory and compliance rules and regulations 
• 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

NICE TO HAVE:

• Licenses: Series 66, Series 24 a plus
• Experience working at a fast growth FinTech
• Tech savvy, G Suite, JIRA, and Confluence
• Experience with SQL and Tableau
• Experience working at or with a Carrying or Clearing Broker-Dealer
• Excellent research skills including experience with online search tools
• Bachelor’s in Finance, Economics, or similar area

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Additional Information 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 state and city guidelines.