Compliance Manager, Broker-Dealer & Investment Adviser

Join Gusto, a leading provider of retirement savings solutions. As a Compliance Manager, you will play a crucial role in overseeing and executing our compliance program for both our Registered Investment Adviser (RIA) and Broker-Dealer (BD) entities. You will be responsible for ensuring exam readiness, managing the compliance calendar, leading the annual review and testing cycle, and overseeing electronic communications surveillance. Additionally, you will contribute to AI-focused enhancements to the compliance program and serve as a liaison with our compliance consulting firm. This is a hands-on role that requires a deep understanding of compliance in a regulated financial services environment.

• Assister à la supervision des programmes de conformité, à la préparation aux examens et à l'assurance que le programme fonctionne efficacement.
• Diriger et maintenir les obligations d'enregistrement auprès de la FINRA dans toutes les juridictions requises, et exécuter le calendrier de conformité.
• Gérer les outils de conformité, y compris la gestion des utilisateurs, les liens de flux de courtage et la configuration continue.
• Strong written communication skills — able to document compliance work to withstand regulatory scrutiny
• Familiarity with compliance technology (e.g., ComplySci, Global Relay), books and records obligations under Rules 17a-4 and 204-2, and AI governance frameworks in a regulated environment
• 5+ compliance experience at a FINRA-registered broker-dealer and SEC-registered investment adviser, with deep working knowledge of FINRA Rules , the SEC Rules (including the Marketing Rule, Reg S-P and Reg S-ID), GLBA, and Bank Secrecy Act
• Hands-on experience executing compliance testing programs
• Running supervisory control testing and advertising review across both RIA and BD entities
• Familiarity with AI tools in a compliance context and a clear understanding of where human oversight is non-negotiable
• Ability to manage multiple programs and workstreams simultaneously in a lean, high-accountability team
• Active SIE, Series 7, and Series 24 licenses