Compliance Lead, Broker-dealer & Investment Adviser

Gusto, Inc.

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

Job Summary

  • This role serves as the operational backbone of Gusto's compliance program, owning the frameworks for both Registered Investment Advisor and Broker-Dealer entities.
  • The position requires a senior professional who can actively govern AI tools used across the compliance program to ensure outputs are validated and deployed lawfully.
  • Gusto offers competitive base pay, benefits, equity (RSUs), and expects all team members to engage with AI tools relevant to their role.

Matching Summary

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

Salary

Base: $156,170 - $192,610 (Denver/major metros); Base: $183,830 - $226,724 (SF/NY); Equity: RSUs included

Skills & Requirements

Must-have

  • 7+ years FINRA/SEC compliance experience
  • Active Series 7 and Series 24 licenses
  • Experience with SEC and FINRA regulatory frameworks
  • AI governance in regulated financial environments
  • Leading regulatory examinations and filings

Nice-to-have

  • Fintech-integrated RIA/BD experience
  • Outsourced compliance model management
  • Cross-functional partnership with Legal and Product
  • Experience managing compliance staff
  • Fluency with compliance technology tools

Key Requirements

  • Series 7 license required
  • Series 24 license required
  • 7+ years broker-dealer and investment adviser experience
  • Deep knowledge of SEC Rules and FINRA Rules
  • Experience leading regulatory exams and filings

Work Rights

Not specified

Tailored Resume

Cover Letter