Compliance Manager - FINRA/SEC & AI Oversight

Gusto; United States; Hybrid; USD 111,000 - 165,000; Full time

Job summary

Gusto seeks a Compliance Manager, Broker-Dealer & Investment Adviser to drive execution, testing, and supervision of compliance programs across RIA and BD entities. You will oversee governance of AI tools, ensure regulatory defensibility, and coordinate with compliance consulting and regulators.

You will manage registrations, annual reviews, surveillance, training, and filings, while aligning with SEC/FINRA expectations in a fast-paced, tech-enabled environment.

Qualifications

• 5+ compliance experience at a FINRA-registered broker-dealer and SEC-registered investment adviser.
• Experience running supervisory control testing and advertising review across RIA and BD.
• Familiarity with compliance technology and AI governance frameworks in regulated environments.
• Hands-on experience executing compliance testing programs.
• Strong written communication skills for regulatory scrutiny.
• Active SIE, Series 7, and Series 24 licenses.
• Ability to manage multiple programs and workstreams in a lean team.
• Familiarity with AI tools in a compliance context and clear human oversight expectations.

Responsibilities

• Lead FINRA state registrations across jurisdictions.
• Support employee registrations (U4, U5, fingerprints, background checks).
• Own and execute the compliance calendar and deadlines.
• Lead annual review and testing across compliance areas (advertising, AML, records, etc.).
• Own electronic communications surveillance in Global Relay including keywords.
• Lead advertising and collateral approvals including FINRA submissions.
• Own Code of Ethics attestation cycles and disclosures review.
• Assist with regulatory filings including ADV and CRS.
• Create and administer compliance training materials.
• Manage compliance tools and configurations.
• Contribute to AI-focused enhancements to compliance program.

Skills

FINRA rules

SEC rules

AI governance

Compliance testing

Written communication

SIE/Series licenses

Project management

Regulatory exams

Tools

ComplySci

Global Relay

Job description

Gusto seeks a Compliance Manager, Broker-Dealer & Investment Adviser to drive execution, testing, and supervision of compliance programs across RIA and BD entities. You will oversee governance of AI tools, ensure regulatory defensibility, and coordinate with compliance consulting and regulators.

You will manage registrations, annual reviews, surveillance, training, and filings, while aligning with SEC/FINRA expectations in a fast-paced, tech-enabled environment.