Join Gusto as a Compliance Manager overseeing Broker-Dealer and Investment Adviser operations. This role focuses on compliance execution and innovative approaches using AI tools.

As a vital part of Gusto's Retirement Compliance Team, you will report directly to the Compliance Lead. Your mission entails managing compliance programs across both RIA and BD entities, ensuring thorough documentation, and maintaining regulatory readiness. With your strategic oversight and hands-on execution, you'll navigate the complexities of compliance within a regulated financial environment.

Key Responsibilities:
• Maintain FINRA state registration across all jurisdictions
• Support employee registration filings including U4 and U5
• Drive timely accomplishment of the compliance calendar




• Lead the annual compliance review and testing cycle
• Manage electronic communications surveillance and advertising approvals

Requirements:
• 5+ years of compliance experience in financial services
• Strong knowledge of FINRA and SEC regulations
• Familiarity with compliance technology tools
• Active SIE, Series 7, and Series 24 licenses
• Excellent written communication skills for compliance documentation

Elevate compliance standards at Gusto while managing cutting-edge AI governance and ensuring regulatory adherence.
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📌 Gusto Compliance Manager Broker-Dealer Role (Ontario)
🏢 Gusto
📍 Ontario