Regulatory Program Manager, Marketing & Communications Supervision
Core
Own marketing and retail communications compliance for a FINRA/SEC-registered broker-dealer, serving as the approving principal for customer-facing content.
Role type
Senior Regulatory Program Manager (Marketing & Communications Supervision)
Builds
Compliant marketing materials, regulatory reports, and supervisory procedures for Cash App Investing.
Domain
Financial Services / Broker-Dealer Compliance
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, partnership with marketing teams, regulatory reporting, governance documentation, independent judgment on complex compliance questions
Preferred skills
AI tooling proficiency, automation of compliance workflows, experience with generative AI for drafting and review
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 under FINRA Rule 2210; supervise registered persons and outside business activities; lead regulatory reporting and examination responses; develop written supervisory procedures and compliance documentation; partner with product and marketing teams on compliant content development.
Seniority
Senior, hands-on IC