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 obligationsSupport U4 and U5 employee registration processesOrganize compliance calendar to meet critical deadlinesConduct annual compliance program testing and reviewsManage advertising submissions and electronic communicationsRequirements:Minimum 5 years of compliance experience with broker-dealersStrong understanding of regulatory requirementsExperience with compliance technology solutionsActive SIE, Series 7, and Series 24 licensesExceptional written communication for documentationContribute to Gusto's evolving compliance framework by effectively managing compliance responsibilities and enhancing AI-driven initiatives.#J-18808-Ljbffr