Regulatory Program Owner

Responsibilities

• Own broker-dealer communications reviews, including pre-approval of retail communications under FINRA Rule 2210
• Manage registered person oversight and employee supervision
• Oversee regulatory complaint reporting and responses
• Provide compliance advisory for product and business priorities
• Contribute to governance activities including board reporting and policy maintenance
• Assist with regulatory examination and inquiry responses
• Use AI tools to automate and improve compliance processes

Requirements

• 5+ years of experience in broker-dealer compliance or regulatory operations
• Active FINRA Series 7, Series 24, and Series 63 registrations
• Direct experience with communications supervision (FINRA Rules 2210, 3110)
• Familiarity with Smarsh or comparable surveillance platforms
• Experience investigating and reporting customer complaints
• Experience supporting or responding to FINRA or SEC examinations
• Excellent written communication skills for regulatory drafting

Preferred Qualifications

• Demonstrated proficiency with generative AI tools for drafting, analyzing, and automating tasks

About the Company

Cash App is a dynamic ecosystem within Block, providing unique financial products to over 50 million monthly active customers, including ways to send, spend, invest, borrow, and save.