Regulatory Program Owner, Cash App Investing

• Own broker-dealer communications reviews, including pre-approval of retail communications under FINRA Rule 2210 and supervision of internal communications
• Own certain registered person oversight responsibilities, including employee supervision
• Provide compliance coverage across many other areas within a cross-functional coverage model
• Support compliance advisory for product and business priorities
• Contribute to governance activities including board reporting, policy maintenance, and compliance program documentation
• Assist with regulatory examination and inquiry responses, including document production and narrative drafting
• Use AI tools as a core part of daily execution, and also identify opportunities to automate and improve compliance processes, contributing to the team's migration to an AI-first operating model

• 5+ years of experience in broker-dealer compliance, regulatory operations, or a related supervisory function at a FINRA-registered firm
• Active FINRA Series 7 and Series 24 and Series 63 registrations (preferred), or ability to obtain within 120 days of hire
• Demonstrated 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
• Direct experience with communications supervision (FINRA Rules 2210, 3110), including keyword-based and sample review programs
• Familiarity with Smarsh or comparable communications surveillance platforms
• Experience supporting or responding to FINRA or SEC examinations
• Excellent written communication skills - you can draft regulatory responses, compliance memos, and governance artifacts that are clear, precise, and examination-ready
• Comfort operating in a fast-paced environment where you are expected to own outcomes across multiple workstreams
• Intellectual curiosity and a bias toward experimentation — you stay current with evolving AI tools and look for ways to apply them to compliance challenges

Active FINRA Series 7 and Series 24 and Series 63 registrations

• Remote work
• medical insurance
• flexible time off
• retirement savings plans
• modern family planning