Regulatory Program Manager, Marketing & Communications Supervision
Core
Own marketing and retail communications compliance and supervisory functions for a FINRA/SEC-registered broker-dealer within the Cash App ecosystem.
Role type
Senior Regulatory Program Manager (Marketing & Communications Supervision)
Builds
Compliant marketing content, regulatory reports, and supervisory documentation for a consumer financial product.
Domain
Financial Services / Broker-Dealer Compliance / Marketing Regulation
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
FINRA Rule 2210 expertise, FINRA Rule 3110 supervision, FINRA Rule 4530 reporting, FINRA Series 24/7/63 licensing, marketing compliance review, regulatory reporting, governance documentation, partnership with product teams, independent judgment on complex compliance questions
Preferred skills
Generative AI proficiency, AI output evaluation for risk and accuracy
Technologies
FINRA Rule 2210, FINRA Rule 3110, FINRA Rule 4530, SEC Rule 17a-4, FINRA Series 24, FINRA Series 7, FINRA Series 63
Responsibilities
Approve marketing and retail communications as the principal under FINRA Rule 2210; partner with marketing and product teams to build compliant content from the outset; supervise firm communications and registered persons including electronic communications review and outside business activities; lead regulatory reporting and responses including customer complaints and examination inquiries; maintain governance through written supervisory procedures and compliance program documentation; modernize compliance workflows using automation and AI-assisted tooling while ensuring human verification
Seniority
Senior, hands-on IC