Compliance Manager, Broker-Dealer & Investment Adviser
Gusto, Inc. · Denver, CO;San Francisco, CA;New York, NY
Posted about 3 months ago
or apply directly on Gusto, Inc.'s site. We never take the application ourselves.
Is this posting real?
- This role has been open
- 81 days Gusto, Inc.'s roles stay open a median of 80 days
- Reposted
- No
- Salary listed
- No 49% of Gusto, Inc.'s roles list one
- Ghost-job risk at Gusto, Inc.
- high 96 stale, 9 reposted of 97 open
- Hiring momentum
- 146 roles opened in the last 90 days ↑ up vs. the prior 90 days
- Last confirmed on the employer's board
- 2026-10-23
Measured from postings appearing on and disappearing from Gusto, Inc.'s own greenhouse board since 2026-08-03. Full hiring picture for Gusto, Inc..
About this role
The Compliance Manager for Broker-Dealer & Investment Adviser at Gusto will oversee the execution and management of compliance programs for both RIA and BD entities. Daily responsibilities include managing compliance calendars, conducting compliance testing, supervising registration obligations, and ensuring adherence to regulatory standards, particularly in relation to AI tools. This role requires a balance of strategic oversight and hands-on execution in a regulated financial environment.
- benefits
- 2/5
- freshness
- 1/5
- career value
- 4/5
- role clarity
- 5/5
- pay transparency
- 0/5
Scored from the posting itself — how clearly the role is described, how much it says about pay and benefits, and how recently it was listed. Not a judgement of Gusto, Inc. as an employer.
What you need
- 5+ years of compliance experience at a FINRA-registered broker-dealer and SEC-registered investment adviser
- Deep working knowledge of FINRA Rules and SEC Rules including the Marketing Rule, Reg S-P and Reg S-ID, GLBA, and Bank Secrecy Act
- Experience with supervisory control testing and advertising review across RIA and BD entities
- Familiarity with compliance technology such as ComplySci and Global Relay
- Hands-on experience executing compliance testing programs
- Strong written communication skills for regulatory documentation
What you get
- Competitive base pay
- Benefits
- Equity (RSUs)
Worth weighing
- No specific mention of remote work flexibility beyond office expectations
- Role involves significant hands-on execution, not just policy oversight
- The position requires familiarity with AI governance frameworks in compliance, which may be a niche skill set
Summarised from Gusto, Inc.'s posting. Read the full original.
Listed by Gusto, Inc. on their greenhouse job board, last confirmed open on 2026-10-23. PitchMeAI is not the employer.
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