Marketing Compliance Lead — Regulatory Programs & Supervision

Block; New York (NY); On-site; USD 164,000 - 245,000; Full time

Job summary

Block is seeking a Regulatory Program Manager to own marketing and communications compliance within the Cash App Investing Compliance team. You will partner with Legal, Product, Engineering, Marketing, and Operations to ensure regulatory obligations are met at consumer-product speed.

You will shape standards for customer communications, serve as the compliance principal for those communications, and determine where automation supports but does not replace human review.

Qualifications

• 8+ years in broker-dealer compliance with ownership of advertising or retail communications review.
• FINRA Series 24, 7 and 63 required.
• Strong practical understanding of FINRA Rule 2210 and SEC Rule 17a-4 recordkeeping.
• Proven ability to collaborate with marketing, brand, or product teams.
• Ability to document complex regulatory positions clearly.
• Interest in applying new tooling with human oversight.

Responsibilities

• Own marketing and retail communications compliance under FINRA Rule 2210 and lead the review program.
• Partner with marketing and product teams from the start to ensure compliant content.
• Oversee firm communications supervision, e-communications, and personal trading reviews.
• Lead regulatory reporting and response efforts, including complaints.
• Govern written supervisory procedures and governance artifacts.
• Explore automation and AI-assisted tooling while preserving necessary human review.

Skills

Broker-dealer compliance

Advertising/marketing review

FINRA rules knowledge

Regulatory stakeholder partnership

Content standards & review

Regulatory reporting

AI tooling for compliance

Tools

FINRA Rules knowledge

SEC Rule 17a-4

Job description

Block is seeking a Regulatory Program Manager to own marketing and communications compliance within the Cash App Investing Compliance team. You will partner with Legal, Product, Engineering, Marketing, and Operations to ensure regulatory obligations are met at consumer-product speed.

You will shape standards for customer communications, serve as the compliance principal for those communications, and determine where automation supports but does not replace human review.