Broker-Dealer & IA Compliance Lead
$110.64k - $136.46kGusto, Inc.
Gusto, Inc. is seeking a Compliance Manager for its Retirement Compliance Team in Denver. You will be responsible for managing compliance programs, ensuring effective execution, and overseeing AI tools used in compliance. The ideal candidate has a strong background in financial regulations and compliance technology, coupled with excellent communication skills. The position offers a salary between $110,640 and $136,456 per year, depending on qualifications and location. #J-18808-Ljbffr Gusto, Inc.
$110.64k - $136.46k
Gusto is looking for a Compliance Manager, Broker-Dealer & Investment Adviser in Denver, Colorado. The role involves executing day-to-day compliance management, driving exam readiness, and ensuring documentation meets SEC and FINRA standards. The ideal candidate will have...Suggested$25 per hour
A premier entertainment company in Colorado is seeking a dedicated individual to supervise casino staff, ensuring compliance with gaming regulations while delivering exceptional customer service. Responsibilities include providing leadership, monitoring floor activities...SuggestedHourly payFull time$110.64k - $136.46k
...assessed during the interview process. About the Role 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...SuggestedFull timeWork at officeLocal area2 days per week3 days per week- Gusto, Inc. in Denver is seeking a Compliance Manager to oversee compliance programs within the RIA and BD entities. This role involves managing compliance testing, regulatory filings, and ensuring the effective execution of compliance protocols. Successful candidates...SuggestedFlexible hours
$23.5 - $26.44 per hour
Monograph is seeking a Broker Integration Advocate to enhance the onboarding journey for small business owners. You will guide clients through integrating their benefits and ensure a smooth experience. With a focus on customer service, you'll leverage AI tools and project...Suggested- A leading insurance provider is seeking candidates for its Agent Development Program in Littleton, Colorado. This structured program offers a clear path to leadership and career growth within an established agency. You will develop sales skills, manage client relationships...Base plus commission
- Life Insurance Sales Agent Location: Work from Home/Remote Position Job Type: Full-Time/Part-Time/Uncapped Commission-Based About Us: GIA Legacy Planning is a dynamic and client-focused insurance agency. We specialize in providing personalized insurance solutions...Full timePart timeRemote workWork from homeFlexible hours
- Affirm is looking for a Client Success professional in Denver, CO to drive long-term partnerships with merchants. The role includes managing accounts, contract renewals, and analyzing merchant performance to maximize value for both Affirm and its partners. Ideal candidates...Remote jobContract work
- A leading global technology company is seeking a Workday Security Administrator in Westminster, CO. In this role, you will design the Workday security landscape and ensure compliance with internal controls. Key responsibilities include the administration of security domains...
- ...Billing Team Lead This individual serves as both an operational contributor and team resource, helping ensure billing workflows... ...accurately, efficiently, and in alignment with company standards and compliance expectations. Core Competencies: Leadership &...
- ...you ready to take off on your next career with us? Job Summary The Lead Cabin Services oversees and participates in the cleaning and sanitization of aircraft interiors, ensuring compliance with airline and safety regulations. This role involves coordinating a...Full timePart timeWorldwideFlexible hoursNight shift
$17.64 - $22.93 per hour
...Job Description Summary The Team Lead assists in supervising and managing all day-to-day store operations while ensuring that 100% compliance exists with all established Company policies and procedures. Provides leadership, guidance and training to the store staff...Hourly payFull timePart timeCasual work- ...JSfirm.com is seeking a Compliance Manager to oversee United Rotorcraft's defense and regulatory compliance initiatives. This role is responsible for ensuring adherence to federal standards such as CMMC, DFARS, NIST 800-171, ITAR, and EAR, while collaborating with various...
$12 - $24.33 per hour
...Position Overview The Team Lead works closely with the Department Manager(s) or Store Manager to receive, price, and stock merchandise... ...the appropriate training and education, including ongoing compliance training. Acts as leader on duty, responding to customer and team...Part timeFlexible hoursAfternoon shift$12 - $24.33 per hour
...completing the work within the store. Ensures all team members receive the appropriate training and education, including ongoing compliance training. Acts as leader on duty, responding to customer and team member concerns in the absence of the Store Manager, as well as...Full timeFlexible hoursAfternoon shift$23.5 - $26.44 per hour
...benefits is one of the most important decisions they make. As a broker integration advocate, you'll own the customer journey from the... ...accurate integration of our customer’s benefits Eligibility & Compliance: You review customer data against carrier eligibility standards...Full timeWork experience placementWork at officeLocal area2 days per week3 days per week$237.5k - $405k
...San Francisco, CA; California (Remote) Work Arrangement: Hybrid The salary range for this role is: $237,500-$405,000 Strategic Broker Engagement Leader The Opportunity The purpose of this role is to drive business growth and profitability by building and maintaining...Full timePart timeWork experience placementWork at officeRemote workWork from home$237.5k - $405k
Dormont Manufacturing Co is looking for a Strategic Broker Engagement Leader to drive business growth and profitability by maintaining relationships with key retail and wholesale brokers. This role is vital in shaping and executing our distribution strategy in the Denver...$145k - $185k
Aon is seeking a Senior Large Property Broker based in the United States to lead strategic risk management solutions for global clients. This hybrid role requires 2-3 days per week in the office, allowing you to manage complex property insurance programs and deliver innovative...Work at office2 days per week3 days per week- Quontic, located in Colorado, is seeking an AVP/BSA Program Manager to lead the Bank’s BSA/AML/OFAC compliance efforts. This role involves overseeing compliance operations, managing transaction monitoring processes, and ensuring adherence to regulatory requirements. Ideal...
- The National Grants Management Association is seeking a Head of Grants Management based in Colorado. This role leads operations to ensure compliance, efficiency, and alignment with organizational priorities. The ideal candidate will have over 5 years of experience in grants...
- Cornerstone Capital Bank is looking for a Mortgage Originations Compliance Program Manager to oversee compliance risk management for Cornerstone Home Lending. This role involves developing policies, tracking regulatory updates, and conducting risk assessments to ensure...
- ...Records Unit within the Department of Revenue. This position involves overseeing records management operations and ensuring policy compliance with regulations. With a strong emphasis on service and teamwork, the role requires a candidate with at least 7 years of relevant...Remote job
- MAXAR TECHNOLOGIES, INC. is looking for a Compliance Operations Lead for its Westminster, CO office. This role involves leading day-to-day operations for third-party due diligence and compliance screening, evaluating risks, and preparing detailed findings for business...Work at office
- Villa, based in Colorado, is hiring a Contracts and Compliance Manager who will manage construction and vendor contracts, ensuring regulatory compliance, and maintaining organized records. This role requires excellent communication and organizational skills, with a focus...Remote jobContract work
- ...games operation, ensuring accurate gameplay and regulatory compliance. The Supervisor will manage gaming assets, ensure correct... ...adherence, and provide exceptional guest experiences while leading a team of dealers. The ideal candidate will have a high school diploma,...
- Dormont Manufacturing Co is seeking a Senior Trade Operations Manager in Denver, Colorado. This hybrid position involves leading global trade compliance efforts, managing regulatory risks, and optimizing processes. Candidates should have over 10 years in trade operations...
- MDAEdge is seeking a Compliance Policy Manager based in Denver, Colorado. This role involves creating and communicating compliance policies, leading projects, and working closely with various teams to ensure compliance guidance is met effectively. The ideal candidate will...
$76k
McDaniel College is seeking an Associate Director of Athletics to oversee NCAA compliance and manage student-athlete welfare and development programs. This role involves leadership and collaboration across departments to enhance student-athlete experiences and ensure adherence...- ...Environment is seeking a Collaborative Management Program Coordinator to facilitate and coordinate important programs, ensuring compliance with House Bill 1451. Responsibilities include managing program data, building partnerships, and supporting the operations of the...
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Broker-Dealer & IA Compliance Lead. Be the first to apply!

