Compliance Analyst - Audit and Exam

Mar 22, 2023

Job Description

Block is one company built from many blocks, all united by the same purpose of economic empowerment. The blocks that form our foundational teams — People, Finance, Counsel, Hardware, Information Security, Platform Infrastructure Engineering, and more — provide support and guidance at the corporate level. They work across business groups and around the globe, spanning time zones and disciplines to develop inclusive People policies, forecast finances, give legal counsel, safeguard systems, nurture new initiatives, and more. Every challenge creates possibilities, and we need different perspectives to see them all. Bring yours to Block.

As a member of the Global Policy & Governance (GPG) team, you will support Block in building and enhancing its Compliance Risk Management Program. GPG provides comprehensive management of compliance risk assessments, customer risk programs, issue management, regulatory examinations, and audits for Block and its businesses across all markets.

The Exam and Audit Management (EXAM) team is part of GPG and the team has responsibility for the annual Exam and AML Audit plan, in addition to the daily coordination and management of third-party and regulatory audits focused on Block’s AML Compliance Management Programs. The Exam and Audit Management function is a global function in which you will partner with Compliance, Legal, and Business functions.

Within the EXAM team you will be responsible for daily coordination and management of relevant third-party engagements and regulatory audits.  In particular, you will work with external parties, such as auditors/consultants and other internal legal and exam teams to coordinate information processes and support these third parties in the conduct of their required audit work.  You will also coordinate the development of management responses and finalization of audit reports, ensuring that issues identified through the exam and audit process are captured as part of Block’s Issues Management Program.


  • Coordinate varying engagements daily i.e. incoming requests and outgoing responses for Compliance-related audits, examination, and independent assessment activities (pre, during and post)
  • Work with partners to maintain content required to be presented to auditors and examiners
  • Monitor and report on Audit and Exam statuses, pipeline and plans
  • Present updates on audit/exam progress to management and contribute to governance reporting processes
  • Critically analyze findings, coordinate management action plans, and support in the finalization of reports
  • Maintain accurate status and provide updates to promote transparency of open issues, including tracking and aging
  • Be available to support other teams within GPG to undertake work on a prioritized basis

Job Requirements

  • 4-year undergraduate degree or equivalent experience
  • Minimum three years of work experience in a project management-based role
  • 3+ years of experience in compliance risk management in a regulated financial services environment
  • Knowledge of applied risk management/auditing concepts
  • Experience in at least one of the following subject-matter areas: BSA/AML/sanctions, consumer lending, consumer protection, or payments
  • A desire to cultivate creative solutions for partners
  • An interest in collaborating with team members of all levels, and in partnering across multiple lines of business including senior management
  • The desire to guide impact both resourcefully and methodically to create solutions
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