Regulatory Program Owner, Cash App Investing

3 days ago
Full-time
Senior
Project and Program Management
Block

Block

Block is a company that consists of Square, Cash App, Spiral, TIDAL, TBD, and foundational teams. They are focused on economic empowerment by creating tools to expand access to the economy. Square helps sellers run and grow businesses, Cash App redefin...

Capital Markets
10K-50K
Founded 2009

Description

  • Own broker-dealer communications reviews, including pre-approval of retail communications and supervision of internal communications under FINRA rules.
  • Own registered person oversight responsibilities, including employee supervision.
  • Provide compliance coverage across multiple areas within a cross-functional coverage model.
  • Support compliance advisory for product and business priorities.
  • Contribute to governance activities such as board reporting, policy maintenance, and compliance program documentation.
  • Assist with regulatory examination and inquiry responses, including document production and narrative drafting.
  • Use AI tools daily to improve efficiency, precision, and process execution across compliance work.
  • Identify and implement opportunities to automate and improve compliance processes as the team moves toward an AI-first operating model.

Requirements

  • 5+ years of experience in broker-dealer compliance, regulatory operations, or a related supervisory function at a FINRA-registered firm.
  • Active FINRA Series 7, Series 24, and Series 63 registrations preferred, or ability to obtain them within 120 days of hire.
  • Demonstrated proficiency with AI tools and generative AI used daily to draft, analyze, review, and automate tasks.
  • Direct experience with communications supervision under FINRA Rules 2210 and 3110, including keyword-based and sample review programs.
  • Familiarity with Smarsh or a comparable communications surveillance platform.
  • Experience supporting or responding to FINRA or SEC examinations.
  • Excellent written communication skills for regulatory responses, compliance memos, and governance artifacts.
  • Comfort operating in a fast-paced environment while owning outcomes across multiple workstreams.
  • Intellectual curiosity and a bias toward experimentation, especially with evolving AI tools and compliance applications.

Benefits

  • Competitive market-based pay with location-based salary zones ranging from $103,200 to $193,600 USD.
  • Remote work options.
  • Medical insurance.
  • Flexible time off.
  • Retirement savings plans.
  • Modern family planning benefits.
  • Inclusive interview experience with reasonable accommodations for disabled applicants.

Interested in this position?

Apply directly on the company website

Apply Now

Similar Roles

Modern Cloud Data Strategy Lead

Prominence 51-250 Professional Services

Prominence Advisors is seeking a Modern Cloud Data Strategy Lead to guide healthcare and life sciences clients through cloud data transformation by building governance, operating models, and organizational alignment around data programs.

AWS Azure Databricks GCP HIPAA Snowflake
28 minutes ago

Advocacy Program Manager

Unity 5K-10K Internet Software & Services

Unity is seeking a Program Manager for its Advocacy team to oversee global user groups, event logistics, and university support while helping grow community engagement across the company’s ecosystem.

40 minutes ago

Program Manager, Community Support

Airbnb 5K-10K Hotels, Restaurants & Leisure

Airbnb is hiring a Community Support Program Manager in Canada to lead cross-functional, multi-platform programs that improve the support experience for hosts and guests.

Agile
1 hour, 33 minutes ago

Flight Computer Hardware Lead, Core Technology

Anduril Industries 1K-5K Aerospace & Defense

Anduril Industries is hiring a hardware product manager to lead the roadmap and development of core embedded compute products for defense systems.

Cybersecurity Embedded Systems Verilog VHDL
1 hour, 47 minutes ago

You're on a roll! Sign up now to keep applying.

Sign Up

Already have an account? Log in

Used by 14,729+ remote workers