Regulatory Program Manager, Marketing & Communications Supervision

Block · 30305 Risk - Compliance - Cash App

Pay: $135,800–$245,400/yr
Where: New York, NY, United States of America
Posted: May 13

The 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.

What you'd do

Own 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.

What they want

8+ 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.