Compliance Manager, Broker-Dealer & Investment Adviser

Compliance Manager, Broker-Dealer & Investment Adviser

The Compliance Manager, Broker-Dealer & Investment Adviser is an essential member of the Gusto Retirement Compliance Team, reporting to the Compliance Lead (Director). This role is the operational engine of the compliance program — owning execution, testing, surveillance, and day-to-day program management across both the RIA and BD entities.

In this role, you would assist in supervising the compliance programs (including the governance of AI tools used across the compliance program), drive exam readiness, and ensure the program is running effectively, documented thoroughly, and defensible under SEC and FINRA scrutiny. This is not a policy-only role, and it is not a passive-user-of-technology role. It requires someone who can move fluidly between strategic oversight and hands-on execution, who understands what it means to carry a compliance program in a regulated financial services environment, and who can serve as a supervisory principal over compliance and AI, ensuring tools are deployed lawfully, outputs are validated, and the program evolves alongside regulatory expectations.

Here's what you'll do day-to-day:

• Lead and maintain FINRA state registration obligations across all required jurisdictions
• Support employee registration filings including U4, U5, fingerprints, and background checks
• Own and execute the compliance calendar — track deadlines, drive timely completion, and escalate to the Compliance Lead as needed
• Lead the annual review and testing cycle across all compliance program areas: advertising, complaints, AML, trade errors, books and records, vendor due diligence, cyber, OFAC, gifts and entertainment, fees and expenses, and more
• Own electronic communications surveillance in Global Relay including keyword configuration and user access
• Lead advertising and collateral approval including FINRA submissions, the advertising log, and annual advertising training
• Own Code of Ethics attestation cycles, desktop procedure management, and client agreements and disclosures review
• Assist the Compliance Lead with regulatory filings including ADV and CRS
• Create and administer compliance training materials across key program areas
• Manage compliance tools including user management, brokerage feed links, and ongoing configuration
• Contribute to AI-focused enhancements to the compliance program and identify automation opportunities
• Serve as liaison with the Firm's compliance consulting firm and support the Compliance Lead on regulatory exams, regulator requests, and upmarket initiatives

Here's what we're looking for:

• 5+ compliance experience at a FINRA-registered broker-dealer and SEC-registered investment adviser, with deep working knowledge of FINRA Rules, the SEC Rules (including the Marketing Rule, Reg S-P and Reg S-ID), GLBA, and Bank Secrecy Act
• Running supervisory control testing and advertising review across both RIA and BD entities
• Familiarity with compliance technology (e.g., ComplySci, Global Relay), books and records obligations under Rules 17a-4 and 204-2, and AI governance frameworks in a regulated environment
• Hands-on experience executing compliance testing programs
• Strong written communication skills — able to document compliance work to withstand regulatory scrutiny
• Active SIE, Series 7, and Series 24 licenses
• Ability to manage multiple programs and workstreams simultaneously in a lean, high-accountability team
• Familiarity with AI tools in a compliance context and a clear understanding of where human oversight is non-negotiable