Regulatory Program Owner

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.