Step into Gusto's team as a Compliance Manager focusing on Broker-Dealer and Investment Adviser compliance. This position combines strategic oversight with hands-on compliance execution.

As part of Gusto's Compliance Team, you will report to the Compliance Lead and play a crucial role in managing compliance programs for RIA and BD entities. Your responsibilities include ensuring comprehensive compliance management, regulatory readiness, and effective governance of AI tools integrated into the compliance landscape, blending management with compliance activities.

Key Responsibilities:
• Lead and execute FINRA registration obligations
• Support U4 and U5 employee registration processes
• Organize compliance calendar to meet critical deadlines




• Conduct annual compliance program testing and reviews
• Manage advertising submissions and electronic communications

Requirements:
• Minimum 5 years of compliance experience with broker-dealers
• Solid understanding of regulatory requirements
• Experience with compliance technology solutions
• Active SIE, Series 7, and Series 24 licenses
• Exceptional written communication for documentation

Contribute to Gusto’s evolving compliance framework by effectively managing compliance responsibilities and enhancing AI-driven initiatives.
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📌 Gusto Compliance Manager for Broker-Dealers (Ontario)
🏢 Gusto
📍 Ontario