Join Gusto as a Compliance Manager overseeing Broker-Dealer and Investment Adviser operations. This role focuses on compliance execution and cutting-edge 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 setting. 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
Robust 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 innovative AI governance and ensuring regulatory adherence. #J-18808-Ljbffr

📌 Gusto Compliance Manager Broker Dealer Role Quinte West
🏢 Gusto
📍 Quinte West