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

Financials

10K-50K (12428)

Founded 2009

122 open positions

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Regulatory Program Owner, Cash App Investing

3 days ago

United States

Full-time

Senior

Compliance Manager

Project and Program Management

Generative AI

Apply Now

Block

Capital Markets

10K-50K

Founded 2009

View All Jobs 122

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

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