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
Robust 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.

📌 Gusto Compliance Manager For Broker Dealers Quinte West
🏢 Gusto
📍 Quinte West