Regulatory Program Owner, Cash App Investing
Core
Own regulatory program functions for a FINRA/SEC-registered broker-dealer within the Cash App investing ecosystem, ensuring compliance while enabling business speed.
Role type
Senior Regulatory Program Owner (Broker-Dealer Compliance)
Builds
Compliance program documentation, regulatory responses, and governance artifacts for the Cash App Investing business.
Domain
Financial Services / Broker-Dealer Compliance / RegTech
Deliverable
client delivery
Required skills
Broker-dealer compliance expertise, FINRA rules knowledge (2210, 3110, 3110), registered person oversight, regulatory examination response, AI tool proficiency, communications surveillance, policy maintenance
Preferred skills
Series 7, 24, 63 registrations, Smarsh platform experience, board reporting
Technologies
Smarsh, Generative AI tools
Responsibilities
Own broker-dealer communications reviews and pre-approval of retail communications; oversee registered persons; provide cross-functional compliance coverage; support product advisory; contribute to governance and board reporting; assist with regulatory examinations; use AI tools to automate compliance processes.
Seniority
Senior, hands-on IC
