Compliance Manager, Broker-Dealer & IA | AI-Driven RegTech

The Wrap; New York (NY); Híbrido; USD 111.000 - 165.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Equity (RSUs)

Benefits

Total rewards philosophy

Descripción de la vacante

Gusto seeks a Compliance Manager, Broker-Dealer & Investment Adviser, to own execution, testing, surveillance, and day-to-day program management across RIA and BD entities. This hands-on role requires moving between strategic oversight and detailed execution in a regulated financial services setting.

You'll supervise AI governance, perform exams readiness, and collaborate with the Compliance Lead, maintaining defensible programs while guiding staff and coordinating with external counsel.

Formación

• 5+ compliance experience at a FINRA-registered broker-dealer and SEC-registered investment adviser.
• Experience running supervisory control testing and advertising review for RIA and BD.
• Familiarity with AI governance frameworks in a regulated environment.
• Hands-on experience executing compliance testing programs and regulatory filings.
• Strong written communication for regulatory scrutiny.

Responsabilidades

• Lead FINRA state registrations across required jurisdictions.
• Support U4/U5 filings, fingerprints, and background checks.
• Own and execute the compliance calendar with timely completion.
• Lead annual review and testing across advertising, AML, books and records, vendor due diligence, cyber, OFAC, and more.
• Manage electronic surveillance in Global Relay and advertising approvals.
• Oversee Code of Ethics attestations and client disclosures reviews.
• Assist with ADV and CRS filings.
• Create and administer training materials for key programs.
• Manage compliance tools and integrations with broker feeds.
• Identify AI automation opportunities within compliant boundaries.
• Liaise with compliance consulting firm and support exams/regulator requests.

Conocimientos

FINRA Rules

SEC Rules

GLBA

Bank Secrecy Act

Compliance testing

AI governance

Written communication

SIE license

Series 7

Series 24

Regulatory oversight

Herramientas

ComplySci

Global Relay

Descripción del empleo

Gusto seeks a Compliance Manager, Broker-Dealer & Investment Adviser, to own execution, testing, surveillance, and day-to-day program management across RIA and BD entities. This hands-on role requires moving between strategic oversight and detailed execution in a regulated financial services setting.

You'll supervise AI governance, perform exams readiness, and collaborate with the Compliance Lead, maintaining defensible programs while guiding staff and coordinating with external counsel.