Regulatory Program Owner, Cash App Investing

About the role

The Cash App Investing Compliance team is responsible for ensuring Cash App Investing meets its regulatory obligations. This position involves overseeing various supervisory functions, including broker-dealer communications reviews, registered person oversight, regulatory complaint handling, and compliance coverage across multiple areas.

Responsibilities

• Own broker-dealer communications reviews, including pre-approval of retail communications under FINRA Rule 2210 and supervision of internal and certain external communications.
• Own certain registered person oversight responsibilities, including employee supervision.
• Oversee regulatory complaint reporting and responses.
• Provide compliance coverage across many other areas within a cross-functional coverage model.
• Support compliance advisory for product and 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 a 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.

Requirements

• 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.
• 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 investigating and reporting customer complaints.
• Experience supporting or responding to FINRA or SEC examinations and regulatory inquiries.
• 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 where you are expected to own outcomes across 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.
• Demonstrated proficiency with AI tools - you actively use generative AI in your daily work to draft, analyze, review, and automate tasks, and can articulate how you evaluate AI outputs for accuracy and risk.

Qualifications

• Master's degree in Finance, Accounting, Business Administration, or a related field.
• Experience in a similar role or relevant industry.
• Strong understanding of financial regulations and compliance standards.
• Ability to work independently and manage multiple projects simultaneously.
• Excellent problem-solving and analytical skills.

Skills

• Strong knowledge of FINRA and SEC regulations.
• Experience with regulatory compliance software and systems.
• Proficiency in Microsoft Office Suite.
• Strong verbal and written communication skills.
• Ability to work effectively in a team environment.
• Experience with AI tools and automation.

Benefits

At Cash App, we offer a comprehensive benefits package to support your health, financial security, and overall well-being. This includes:

• Health Insurance
• Retirement Savings Plans
• Flexible Time Off
• Modern Family Planning
• Employee Wellness Programs
• Professional Development Opportunities

Pay

Starting pay range for this role varies based on location and experience, ranging from $103,200 to $193,600 USD per year.

Schedule

Remote work is offered, and the schedule is flexible to accommodate your needs.