Compliance Lead, Broker-dealer & Investment Adviser

Gusto

Denver, CO, US
Base: $156,170-$192,610 (denver/major metros) or $...
On-site
7+ years finra/sec compliance experience
Active series 7 and series 24 licenses
Experience with sec marketing rule and reg s-p
This role serves as the operational backbone of Gusto's compliance program, owning the frameworks for both Broker-Dealer and Registered Investment Advisor entities while ensuring defensible AI governance

Job Summary

  • This role serves as the operational backbone of Gusto's compliance program, owning the frameworks for both Broker-Dealer and Registered Investment Advisor entities while ensuring defensible AI governance.
  • The successful candidate will lead all FINRA and SEC regulatory matters, including filing preparation, exam responses, and the development of supervisory controls that evolve alongside regulatory expectations.
  • Gusto offers competitive base pay, equity (RSUs), and benefits to all full-time employees, reflecting a culture where everyone who helps build the company shares in its success.

Matching Summary

This role serves as the operational backbone of Gusto's compliance program, owning the frameworks for both Broker-Dealer and Registered Investment Advisor entities while ensuring defensible AI governance.

Salary

Base: $156,170-$192,610 (Denver/major metros) or $183,830-$226,724 (SF/NY); Equity: RSUs included; Benefits: Competitive base pay, health insurance, 401(k)s

Skills & Requirements

Must-have

  • 7+ years FINRA/SEC compliance experience
  • Active Series 7 and Series 24 licenses
  • Experience with SEC Marketing Rule and Reg S-P
  • Proven track record leading regulatory examinations
  • AI governance framework implementation in finance

Nice-to-have

  • Fintech integrated RIA/BD environment experience
  • Experience managing outsourced compliance consulting firms
  • Strong written communication for regulatory defense
  • Cross-functional partnership with Legal and Product teams

Key Requirements

  • Series 7 license required
  • Series 24 license required
  • SIE license required
  • 7+ years broker-dealer and investment adviser compliance experience
  • Experience with Form BD, ADV, U4/U5 filings

Work Rights

Not specified

Tailored Resume

Cover Letter