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Regulatory Program Owner

New

Skills

AI tools proficiency Broker-dealer compliance Compliance advisory Fast-paced environment adaptability FINRA regulations Governance activities Regulatory examinations Smarsh surveillance platform Supervisory experience Written communication skills

As a Regulatory Program Owner for Cash App Investing, you will be responsible for overseeing broker-dealer communications and ensuring compliance with FINRA regulations. This role requires strong supervisory capabilities and a proactive approach to compliance advisory in a fast-paced environment.

Key Responsibilities
  • Own broker-dealer communications reviews per FINRA Rule 2210.
  • Manage registered person oversight responsibilities, including supervision.
  • Provide compliance coverage across cross-functional areas.
  • Support compliance advisory for product and business priorities.
  • Contribute to governance activities, including board reporting and policy maintenance.
  • Assist with regulatory examinations, including document production.
Required Skills & Qualifications
  • 5+ years of broker-dealer compliance or supervisory experience.
  • Active FINRA Series 7 and 24 and Series 63 registrations (preferred) or within 120 days.
  • Proficient with AI tools, including daily generative AI use.
  • Familiarity with Smarsh or similar surveillance platforms.
  • Experience supporting or responding to FINRA or SEC examinations.
  • Excellent written communication skills for regulatory responses and governance documents.
  • Intellectual curiosity and a bias toward experimentation with AI tools.

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Job Type: Remote

Salary: Not Disclosed

Experience: Entry

Duration: Months

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