🛠 Tech Stack

💼 About This Role

You'll own communications reviews and registered person oversight for a FINRA/SEC-registered broker-dealer within Cash App's investing ecosystem. Your impact will shape how technology and AI tools enhance compliance while maintaining rigorous human oversight. You'll work in a fast-paced environment that blends broker-dealer expertise with an AI-first operating model.

🎯 What You'll Do

• Own broker-dealer communications reviews under FINRA Rule 2210.
• Own registered person oversight, including employee supervision.
• Provide compliance coverage within a cross-functional model.
• Support compliance advisory for product and business priorities.
• Contribute to governance activities (board reporting, policy maintenance).

📋 Requirements

• 5+ years in broker-dealer compliance or regulatory operations at a FINRA-registered firm.
• Active FINRA Series 7 and Series 24 and Series 63 registrations (or ability to obtain within 120 days).
• Demonstrated proficiency with AI tools in daily work.
• Direct experience with communications supervision (FINRA Rules 2210, 3110).

✨ Nice to Have

• Familiarity with Smarsh or comparable communications surveillance platforms.
• Experience supporting or responding to FINRA or SEC examinations.
• Excellent written communication skills for regulatory responses and memos.

🎁 Benefits & Perks

• 🏖️ Remote work flexibility
• 💰 Market-based pay
• 📈 Stock grants
• 🏥 Health insurance
• 💡 AI tools and training

📨 Hiring Process

Estimated timeline: 2-4 weeks · AI estimate

1. 1Recruiter phone screen· 30 min
2. 2Hiring manager interview· 45 min
3. 3Technical/Compliance assessment· 60 min