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Compliance Manager

gusto· 100 open roles

Location TBD On-siteFull-time1 weeks ago
Salary
$110,640 - $164,792
Experience
Mid
Job Type
Full-time
Posted
1 weeks ago
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About This Role

The Compliance Manager at Gusto is responsible for the operational management of the compliance program across both RIA and BD entities, ensuring the program is running effectively and defensible under SEC and FINRA scrutiny. This role requires a strong understanding of compliance regulations and the ability to move fluidly between strategic oversight and hands-on execution. The Compliance Manager will lead and maintain FINRA state registration obligations, own and execute the compliance calendar, and contribute to AI-focused enhancements to the compliance program. The ideal candidate has 5+ years of compliance experience at a FINRA-registered broker-dealer and SEC-registered investment adviser, with deep working knowledge of FINRA Rules and SEC Rules.

Key ResponsibilitiesAI-extracted

  • 1
    Lead and maintain FINRA state registration obligations across all required jurisdictions
  • 2
    Own and execute the compliance calendar, tracking deadlines and driving timely completion
  • 3
    Lead the annual review and testing cycle across all compliance program areas
  • 4
    Own electronic communications surveillance in Global Relay, including keyword configuration and user access
  • 5
    Contribute to AI-focused enhancements to the compliance program and identify automation opportunities

RequirementsAI-extracted

  • 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
  • Familiarity with compliance technology, such as ComplySci and Global Relay
  • Active SIE, Series 7, and Series 24 licenses
  • Strong written communication skills, with the ability to document compliance work to withstand regulatory scrutiny

Perks & BenefitsAI-extracted

Competitive base pay
Benefits, including health insurance and 401(k) matching
Equity (RSUs) in the company
Typically: paid time off and holidays
Typically: opportunities for professional growth and development
Typically: access to cutting-edge technology and tools

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