Regulatory Program Manager, Marketing & Communications Supervision

Block
San Francisco
Workplace: RemoteFull timeFunction: Quality & Regulatory (Non-Software)Experience: 5+ yearsEducation: professionalSkills: ["Communication","Collaboration","Problem-solving"]

Regulatory Program Owner to lead broker-dealer supervisory functions within Block’s Cash App Investing Compliance team. You will drive AI-enabled efficiency, oversee communications reviews under FINRA rules, supervise registered personnel, collaborate across Legal, Product, Engineering, and Operations, and contribute to governance and examination responses in a fast-paced, remote-friendly environment.

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Block
Block
4 months ago

Regulatory Program Manager, Marketing & Communications Supervision

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Last checked: 6 hours agoStatus: Live

Job Summary

Regulatory Program Owner to lead broker-dealer supervisory functions within Block’s Cash App Investing Compliance team. You will drive AI-enabled efficiency, oversee communications reviews under FINRA rules, supervise registered personnel, collaborate across Legal, Product, Engineering, and Operations, and contribute to governance and examination responses in a fast-paced, remote-friendly environment.
Location: San Francisco
Workplace: Remote
Employment Type: Full time
Job Function: Quality & Regulatory (Non-Software)

Key Responsibilities

  • •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 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.

Pay and Benefits

Perks:Remote Work

Key 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 (preferred), or ability to obtain within 120 days of hire.
  • •Demonstrated proficiency with AI tools—actively use generative AI in daily work 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:5+ yearsFinraBroker-dealerComplianceFinancial services
Education:Professional (JD, MD, etc.)
Skills:CommunicationCollaborationProblem-solving
Certifications:FINRA Series 7FINRA Series 24FINRA Series 63
Languages:English
Tech Stack:AISmarsh

Company Brief

Block
Builds financial services and commerce tools to empower businesses and individuals, operating products such as Square, Cash App, Spiral (Bitcoin initiatives), TIDAL, and developer-focused payment and banking solutions.
Industry: Fintech Infrastructure
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: San Francisco, United States
Founded: 2009
WebsiteLinkedIn