Regulatory Program Owner

About the Role Join Block's Cash App Investing Compliance team as Regulatory Program Owner, leading broker-dealer supervisory functions within a FINRA/SEC-registered broker-dealer operating in the Cash App ecosystem. You will partner across Legal, Product, Engineering, and Operations to maintain regulatory obligations while enabling fast business movement. You will bring an AI-first mindset to drive efficiency and precision with strong human oversight.

What You'll Do

• 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 a cross-functional coverage model and support advisory for product/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 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.

What We're Looking For

• 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 — actively use generative AI 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 with 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.
• Commitment to Block’s inclusive values and ability to work across diverse teams in a distributed, remote-first environment.

Nice to Have

• Experience with governance artifacts such as board reporting and policy maintenance (optional).
• Prior exposure to AI governance or AI risk controls (optional).

Compensation & Benefits

• Salary ranges depend on location (Zone A-D). Zone A: $129,000–$193,600; Zone B: $119,900–$179,900; Zone C: $113,600–$170,400; Zone D: $103,200–$154,800 USD.
• Salary is annual and may vary by location, experience, and market conditions. Block is an equal opportunity employer and provides reasonable accommodations on request.