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Compliance Lead for Broker-Dealer & Investment Adviser

GustoDenver, CO;San Francisco, CA;New York, NY
On-site Full-time $156.2K/yr - $226.7K/yr

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Experience Level

Senior

Qualifications

We are seeking a highly motivated Compliance Lead with a strong background in compliance within financial services. The ideal candidate will have: A deep understanding of SEC and FINRA regulations. Proven experience managing compliance programs, particularly in a Broker-Dealer or RIA context. Experience with AI governance frameworks and their application in compliance. Excellent analytical skills and attention to detail. Strong communication and interpersonal skills. Ability to work independently and collaboratively in a fast-paced environment.

About the job

 


About Gusto

At Gusto, we are dedicated to empowering the small business economy by taking care of the complexities involved in payroll, health insurance, 401(k)s, and HR. This allows business owners to concentrate on their passion and their customers. With teams located in Denver, San Francisco, and New York, we proudly support over 500,000 small businesses across the nation and are committed to creating a workplace that mirrors the diverse community we serve.

 
All full-time employees are offered competitive base salaries, comprehensive benefits, and equity (RSUs) because we believe that everyone who contributes to Gusto’s growth should partake in its success. Compensation is tailored based on role, level, and location. For more details, please refer to our Total Rewards philosophy.

 
At Gusto, artificial intelligence is integral to our operations. We encourage all team members to actively utilize AI tools relevant to their roles and to enhance their skills as technology advances. The specific AI experience required may differ by role and will be evaluated during the interview process.

About the Role:

The Compliance Lead, Broker-Dealer & Investment Adviser is a pivotal senior position within the Gusto Retirement Compliance Team, reporting directly to the Head of Compliance. This role serves as the operational foundation of the compliance program, overseeing the compliance initiatives for our Registered Investment Advisor (RIA) and Broker-Dealer (BD) entities, including their AI governance frameworks, and acting as a trusted senior contributor to the RIA/BD Compliance team.

In this capacity, you will establish the supervisory architecture (including governance of AI tools utilized in compliance), promote exam readiness, and ensure the program is efficiently managed, comprehensively documented, and resilient under SEC and FINRA scrutiny. This role is not limited to policy creation nor is it passive in technology usage. It demands an individual who can seamlessly transition between strategic oversight and hands-on execution, who comprehensively understands the nuances of managing a compliance program within a regulated financial services environment, and who can act as a supervisory principal over AI, ensuring that tools are employed legally, outputs are verified, and the program adapts to evolving regulatory expectations.

About the Team:

Gusto operates RIA and BD affiliated entities, catering to clients across the retirement savings spectrum. Our Compliance Team is a streamlined, high-impact unit responsible for upholding robust, defensible compliance programs across both regulatory landscapes, designed to scale with the business.

About Gusto

Gusto is on a mission to support the growth of the small business economy by simplifying complex aspects of payroll, health insurance, 401(k)s, and HR. We are committed to creating a diverse workplace and supporting over 500,000 small businesses nationwide.

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