Remote Regulatory Program Manager: Marketing Compliance

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

Job summary

Block, Inc. is seeking a Regulatory Program Manager to own marketing and communications compliance for its broker-dealer ecosystem, with a remote-friendly posture from New York.

The role partners with Legal, Product, Marketing, and Operations to ensure regulatory obligations are met while the business operates with speed and scale. You will set content standards under FINRA Rule 2210, supervise communications, and drive governance for the program including automation considerations with proper

Qualifications

• 8+ years in broker-dealer compliance with ownership of advertising/marketing review.
• Experience partnering with marketing/brand/product teams to translate regulatory requirements.

Responsibilities

• Own marketing and retail communications compliance under FINRA Rule 2210, serving as approving principal and setting content standards.
• Partner with marketing and product teams from the start to build compliant content.
• Supervise firm communications and registered persons, including electronic reviews and outside activities.
• Lead regulatory reporting and responses under FINRA 4530 and related inquiries.
• Govern your areas with written supervisory procedures and governance artifacts.
• Explore automation and AI-assisted tooling while ensuring necessary human review.

Skills

Broker-dealer compliance

FINRA Rules knowledge

FINRA Rule 2210 (content standards)

FINRA Rule 3110 supervision

SEC Rule 17a-4 recordkeeping

Advertising/marketing review ownership

Effective collaboration with marketing

AI tooling familiarity

Tools

Job description

Block, Inc. is seeking a Regulatory Program Manager to own marketing and communications compliance for its broker-dealer ecosystem, with a remote-friendly posture from New York.

The role partners with Legal, Product, Marketing, and Operations to ensure regulatory obligations are met while the business operates with speed and scale. You will set content standards under FINRA Rule 2210, supervise communications, and drive governance for the program including automation considerations with proper