Note: The job is a remote job and is open to candidates in USA. Cash App, a Block financial technology ecosystem, provides products for sending, spending, investing, borrowing, and saving money. The Regulatory Program Manager will own marketing and communications compliance for Cash App Investing, serve as the approving compliance principal, oversee broker-dealer supervisory functions, and help modernize compliance operations through automation and AI-assisted tooling.
Responsibilities
- Own marketing and retail communications compliance under FINRA Rule 2210 — serving as the approving principal, setting content standards and running the review program
- Partner with marketing and product teams from the start, providing clear, practical guidance so teams can build compliant content from the outset
- Own supervision of firm communications and registered persons — electronic communications review, employee supervision, outside business activities, and personal trading
- Own regulatory reporting and responses, including customer complaint reporting under FINRA Rule 4530 and leading examination and inquiry responses in your areas
- Own governance for your areas — written supervisory procedures, board and committee reporting, and compliance program documentation
- Help modernize how the work gets done, applying automation and AI-assisted tooling while maintaining the human review our supervisory obligations require
Skills
- 8+ years in broker-dealer compliance, with hands-on ownership of advertising, marketing, or retail communications review at a FINRA-registered firm
- FINRA Series 24, 7 and 63 required
- Command of FINRA Rule 2210 in practice — content standards, disclosures, filing obligations, and approval recordkeeping — plus working knowledge of FINRA Rule 3110 supervision and SEC Rule 17a-4 recordkeeping
- A track record of effective partnership with marketing, brand, or product teams, communicating requirements in terms non-specialists can act on
- Confidence to reach an independent conclusion on complex or novel questions, and the written and verbal skills to document and explain it clearly across regulatory responses, compliance memos, and governance artifacts and forums
- Interest in applying new tooling to compliance work, with clear views on where automated output requires human verification
- Demonstrated proficiency with AI tools - you actively use generative AI in your daily work to draft, analyze, review, and automate tasks, and can articulate how you evaluate AI outputs for accuracy and risk
Benefits
- Remote work
- Medical insurance
- Flexible time off
- Retirement savings plans
- Modern family planning
Company Overview
Company H1B Sponsorship