For companies:
For professionals:
For everyone:
Responsibilities
The RoleThe Cash App Investing Compliance team is the second-line compliance function for a FINRA/SEC-registered broker-dealer inside Block's Cash App ecosystem. We partner with Legal, Product, Engineering, Marketing, and Operations so CAI meets its regulatory obligations while the business moves at consumer-product speed.We are looking for a Regulatory Program Manager to own marketing and communications compliance for the firm, along with other additional broker-dealer supervisory functions. This is an ownership role. You will set the standards for how the firm communicates with customers, serve as the compliance principal for those communications, and work directly with marketing and product teams from the earliest stages of development. We are also investing in how modern tooling and automation can improve the quality and consistency of our compliance program, and you will help shape where those tools belong — and where independent human judgment remains essential.You WillOwn 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.You Have8+ 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.Nice to HaveDemonstrated 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.Block takes a market-based approach to pay, and pay may vary depending on your location. U.S. locations are categorized into one of four zones based on a cost of labor index for that geographic area. The successful candidate’s starting pay will be determined based on job-related skills, experience, qualifications, work location, and market conditions. These ranges may be modified in the future.To find a location’s zone designation, please refer to this resource. If a location of interest is not listed, please speak with a recruiter for additional information. Zone A: $163,600 — $245,400 USDZone B: $152,200 — $228,200 USDZone C: $144,000 — $216,000 USDZone D: $135,800 — $203,600 USDApplication GuidelinesCandidates may submit up to 9 active applications within a 60-day period. Reapplications to the same role are accepted 90 days after a previous application has been reviewed.Use of AI in Our Hiring ProcessWe may use automated AI tools to evaluate job applications for efficiency and consistency. These tools comply with local regulations, including bias audits, and we handle all personal data in accordance with state and local privacy laws. Every benefit we offer is designed with one goal: empowering you to do the best work of your career while building the life you want. Remote work, medical insurance, flexible time off, retirement savings plans, and modern family planning are just some of our offering.
Closes in:
0
days
0
hours
0
min
0
sec
tune NOT FOR YOU? IMPROVE YOUR RESULTS