Compliance Manager

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

Active SIE, Series 7, and Series 24 licenses

Ability to manage multiple programs and workstreams simultaneously in a lean, high-accountability team

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.

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.

Lead and maintain FINRA state registration obligations across all required jurisdictions

Own and execute the compliance calendar — track deadlines, drive timely completion, and escalate to the Compliance Lead as needed

Gusto operates RIA and BD affiliated entities, serving customers across the retirement savings landscape. Our Compliance Team is a lean, high-impact function responsible for maintaining robust, defensible compliance programs across both regulatory regimes, built to scale alongside the business. That includes staying ahead of how AI is reshaping compliance operations: the team actively governs and oversees AI tools used across the program, identifies where AI can responsibly expand team capacity, and ensures that any AI use meets the supervisory standards required by SEC and FINRA. We are building a compliance program that is both modern and defensible.