Regulatory Program Owner, Cash App Investing
The Regulatory Program Owner at Cash App Investing will oversee multiple supervisory functions within the broker-dealer compliance team. This role involves collaborating with Legal, Product, Engineering, and Operations teams to ensure regulatory obligations are met while supporting the business's rapid growth and service to millions of customers. The position is remote, based in the Bay Area, CA, and reports to the Chief Compliance Officer.
Key responsibilities include managing broker-dealer communications reviews, such as pre-approval of retail communications under FINRA Rule 2210 and supervision of internal communications. The role also involves overseeing registered persons, including employee supervision, providing compliance advisory for product and business initiatives, contributing to governance activities like board reporting and policy maintenance, assisting with regulatory examination responses, and utilizing AI tools to enhance compliance processes.
Candidates should have over five years of experience in broker-dealer compliance or related supervisory functions at a FINRA-registered firm. Active FINRA Series 7, 24, and 63 registrations are preferred, with the ability to obtain them within 120 days if not currently held. Proficiency with AI tools for drafting, analysis, and automation is essential, along with experience in communications supervision under FINRA Rules 2210 and 3110, familiarity with platforms like Smarsh, and experience supporting FINRA or SEC examinations. Strong written communication skills and the ability to manage multiple workstreams in a fast-paced environment are also required.
Block offers a comprehensive benefits package, including healthcare coverage, retirement plans with company match, an employee stock purchase program, wellness programs, paid parental and caregiving leave, flexible time off, and learning and development resources. The company emphasizes an inclusive and innovative culture, providing opportunities for professional growth and development within a dynamic and rapidly evolving financial technology environment.