Become a Compliance Manager with Gusto, specializing in Broker-Dealer and Investment Adviser oversight. This position emphasizes compliance management and AI integration.
In this key role within Gusto’s Compliance Team, you will assume responsibility for operational compliance across RIA and BD entities, reporting to the Compliance Lead. Your expertise will ensure the compliance programs are robust, regulated, and ready for scrutiny, allowing you to engage with both strategic oversight and direct execution of compliance measures.
Key Responsibilities:
• Execute state registration obligations for compliance
• Manage employee registration including U4 filings
• Own the compliance calendar and track the deadlines
• Lead compliance program reviews covering multiple areas
• Oversee electronic communications and advertising compliance
Requirements:
• 5+ years of compliance experience with broker-dealers
• Deep knowledge of SEC and FINRA rules
• Hands-on experience with compliance technologies
• Active licenses: SIE, Series 7, and Series 24
• Solid skills in documenting compliance efforts
Drive compliance innovation within Gusto, enhancing regulatory frameworks while leveraging AI tools effectively.
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📌 Compliance Manager for Financial Services at Gusto (Ontario)
🏢 Gusto
📍 Ontario