Broker-Dealer Marketing & Supervision Manager, Cash App Investing
- San Francisco, CA
- Employees can work remotely
- Alternate Location: New York, United States
Cash App is the fastest growing financial brand in the world. 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 app with over 30 million monthly active users. We are bringing a better way to send, spend, invest, and save to anyone who has ever sought an alternative to the traditional banking system. Loved by customers and pop culture, we've consistently held the top spot for finance in the App Store for many years, seeing more engagement with millions of followers across social media in a day than most brands see in a year. We are building an ecosystem to redefine the world's relationship with money by making it universally accessible.
We want to hire the best talent regardless of location. Our employment model is distributed, offering the opportunity to collaborate with teams across the world in San Francisco, Oakland, New York, St. Louis, Portland, Toronto, Kitchener-Waterloo, Sydney, Melbourne, London, Ireland, Spain and Lithuania.
The Cash App Compliance team is looking for a Marketing and Supervision Manager to lead these foundational areas of our compliance program for our broker-dealer subsidiary, Cash App Investing (CAI). You have deep experience in broker-dealer (i.e., FINRA & SEC) regulatory compliance, including FINRA Rule 2210, and other supervisory and surveillance activities across a retail investing business. In addition to daily management and review of CAI's marketing & communications programs, you will lead efforts to further develop the program that supports the investment arm of the fastest growing, mobile consumer financial application.
You will be an essential member of CAI's Compliance function, managing governance and oversight of CAI's marketing & communications program. In addition to primary marketing and communications compliance responsibilities, you will also contribute to CAI's broader compliance program with additional compliance, surveillance and oversight responsibilities.
Lead the CAI marketing & communications compliance program (e.g. manage corporate and legal obligations, maintain appropriate controls and reporting to ensure our adherence to regulatory requirements)
Manage CAI's regulatory obligations related to marketing and public communications, including reviewing materials, providing advice on materials, approving materials and ensuring that record keeping obligations are met
Review advertising and marketing content designed for traditional and non-traditional platforms and provide insight to partners when communicating with the public
Provide training to other CAI partners regarding regulatory considerations and requirements for broker-dealer communications
Work with your internal team and external regulators (i.e., FINRA) with respect to CAI's regulatory obligations and provide ad hoc reporting on the status of the CAI marketing & communications compliance program
Participate in and assist on other compliance programs across employee activity oversight, surveillance and monitoring
Support the compliance function in defining and achieving departmental plans, maintaining relevant policies and procedures, and liaising with auditors
Be a registered principal of the broker-dealer and maintain the following securities licenses: Series 7 and Series 24
5+ years of broker-dealer regulatory compliance experience, including reviewing materials for compliance with FINRA Rule 2210
Hold or have previously held FINRA Licenses: Series 7 and Series 24
Experience working with partners across the business, including product teams, operations groups, legal teams, project management, and executive leadership
Respect for and interest in financial rules and regulations, and an eagerness to drive the industry forward
Identify problems, build project plans to address them, and manage implementation of their solutions
Experience implementing enhancements for processes for marketing & communications compliance functions
Experience evaluating advertising compliance tools and workflow systems
Experience with broker-dealer employee activity compliance, surveillance and monitoring
Cash App treats all employees and job applicants equally. Every decision is based on merit, qualifications, and talent. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We will consider for employment qualified applicants with criminal histories in a manner consistent with each office’s corresponding local guidelines.