The Regulatory Program Owner will manage broker-dealer compliance functions oversee communications reviews support compliance advisory and enhance processes using AI tools.

It all started with an idea at Block in 2013. Initially built to take the pain out of peer-to-peer payments Cash App has gone from a simple product with a single purpose to a dynamic ecosystem developing unique financial products including Afterpay/Clearpay to provide a better way to send spend invest borrow and save to our 50+ million monthly active customers. We want to redefine the world's relationship with money to make it more relatable instantly available and universally accessible.
Today Cash App has thousands of employees working globally across office and remote locations with a culture geared toward innovation collaboration and impact. We've been a distributed team since day one and many of our roles can be done remotely from the countries where Cash App operates. No matter the location we tailor our experience to ensure our employees are creative productive and happy.
The Role
The Cash App Investing Compliance team is the second-line compliance function for a FINRA/SEC-registered broker-dealer operating within Block's Cash App ecosystem. We partner across Legal Product Engineering and Operations to help ensure CAI meets its regulatory obligations while enabling the business to move fast and serve millions of customers.
We are looking for a Regulatory Program Owner to take ownership across multiple broker-dealer supervisory functions. This is an exciting time to join the team! We are investing in how technology and modern tools can enhance the way we work - improving the quality consistency and efficiency of our compliance program while maintaining the rigorous human oversight that our regulatory framework requires. You will play a central role in shaping how the team evolves bringing both deep broker-dealer expertise and a forward-looking approach to how compliance work gets done. You must have an AI-first mindset as you will use AI tools daily to drive efficiency and precision across your work while providing critical human judgment and oversight.
You Will

• 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.
• 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.

You Have

• 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- 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.
• 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 supporting or responding to FINRA or SEC examinations.
• 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.

We're working to build a more inclusive economy where our customers have equal access to opportunity and we strive to live by these same values in building our workplace. Block is an equal opportunity employer evaluating all employees and job applicants without regard to identity or any legally protected class. We will consider qualified applicants with arrest or conviction records for employment in accordance with state and local laws and "fair chance" ordinances.
We believe in being fair and are committed to an inclusive interview experience including providing reasonable accommodations to disabled applicants throughout the recruitment process. We encourage applicants to share any needed accommodations with their recruiter who will treat these requests as confidentially as possible. Want to learn more about what we're doing to build a workplace that is fair and square? Check out our I+D page .
Block takes a market-based approach to pay and pay may vary depending on your location. U.S. locations are categorized into one of four zones based on a cost of labor index for that geographic area. The successful candidate's starting pay will be determined based on job-related skills experience qualifications work location and market conditions. These ranges may be modified in the future.
To find a location's zone designation please refer to this resource . If a location of interest is not listed please speak with a recruiter for additional information.
Zone A:
$129000 - $193600 USD
Zone B:
$119900 - $179900 USD
Zone C:
$113600 - $170400 USD
Zone D:
$103200 - $154800 USD
Application Guidelines
Candidates may submit up to 9 active applications within a 60-day period. Reapplications to the same role are accepted 90 days after a previous application has been reviewed.
Use of AI in Our Hiring Process
We may use automated AI tools to evaluate job applications for efficiency and consistency. These tools comply with local regulations including bias audits and we handle all personal data in accordance with state and local privacy laws.
Contact us here with hiring practice or data usage questions.
Every benefit we offer is designed with one goal: empowering you to do the best work of your career while building the life you want. Remote work medical insurance flexible time off retirement savings plans and modern family planning are just some of our offering. Check out our other benefits at Block.
Block Inc. (NYSE: XYZ) builds technology to increase access to the global economy. Each of our brands unlocks different aspects of the economy for more people. Square makes commerce and financial services accessible to sellers. Cash App is the easy way to spend send and store money. Afterpay is transforming the way customers manage their spending over time. TIDAL is a music platform that empowers artists to thrive as entrepreneurs. Bitkey is a simple self-custody wallet built for bitcoin. Proto is a suite of bitcoin mining products and services. Together we're helping build a financial system that is open to everyone.