Compliance Manager
Owns execution, testing, surveillance, and day-to-day management of compliance programs for Gusto's RIA and BD entities. Requires 5+ years experience at a FINRA-registered broker-dealer and SEC-registered investment adviser, plus active SIE, Series 7, and Series 24 licenses.
About the job
Responsibilities
- 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
Requirements
- 5+ years 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
Compensation & Benefits
- Cash compensation: $110,640/yr to $136,456/yr in Denver & most major metro locations; $133,615/yr to $164,792/yr for San Francisco & New York
- All full-time employees receive competitive base pay, benefits, and equity (RSUs)
Skills
Finra Rules, Sec Rules, Marketing Rule, Reg S-P, Reg S-Id, Glba, Bank Secrecy Act, Complysci, Global Relay, Rule 17A-4, Rule 204-2, Ai Governance, U4/U5 Filings, Aml Compliance, Advertising Review
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