# Compliance Manager

**Company**: Gusto
**Location**: Denver, CO;San Francisco, CA;New York, NY
**Work arrangement**: hybrid
**Experience**: senior
**Job type**: full-time
**Salary**: $110,640/yr to $136,456/yr in Denver & most major metro locations, and $133,615/yr to $164,792/yr for San Francisco & New York
**Category**: Legal
**Industry**: Finance

**Apply**: https://job-boards.greenhouse.io/gusto/jobs/8024433?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply
**Canonical**: https://yubhub.co/jobs/job_24166dc4-41f

## Description

The Compliance Manager, Broker-Dealer & Investment Adviser is an essential member of the Gusto Retirement Compliance Team.

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

- 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+ compliance experience at a FINRA-registered broker-dealer and SEC-registered investment adviser

- 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

Benefits:

- Competitive base pay

- Benefits

- Equity (RSUs)

Salary: $110,640/yr to $136,456/yr in Denver & most major metro locations, and $133,615/yr to $164,792/yr for San Francisco & New York

## Skills

### Required
- FINRA Rules
- SEC Rules
- GLBA
- Bank Secrecy Act
- ComplySci
- Global Relay
- AI governance frameworks

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Source: [Apply at job-boards.greenhouse.io](https://job-boards.greenhouse.io/gusto/jobs/8024433?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply)