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 workplace.Key Responsibilities:Maintain FINRA state registration across all jurisdictionsSupport employee registration filings including U4 and U5Drive timely accomplishment of the compliance calendarLead the annual compliance review and testing cycleManage electronic communications surveillance and advertising approvalsRequirements:5+ years of compliance experience in financial servicesStrong knowledge of FINRA and SEC regulationsFamiliarity with compliance technology toolsActive SIE, Series 7, and Series 24 licensesExcellent written communication skills for compliance documentationElevate compliance standards at Gusto while managing innovative AI governance and ensuring regulatory adherence.#J-18808-Ljbffr

📌 Gusto Compliance Manager Broker-Dealer Role (Hastings County)
🏢 Gusto
📍 Hastings County