Compliance Manager, Broker-Dealer & Investment Adviser

About Gusto At Gusto, we're on a mission to grow the small business economy. We handle the hard stuff — payroll, health insurance, 401(k)s, and HR — so owners can focus on their craft and their customers. With teams in Denver, San Francisco, and New York, we support more than 500,000 small businesses nationwide and are building a workplace that reflects the people we serve.

Benefits

, and equity (RSUs) — because everyone who helps build Gusto should share in its success. Offer amounts are determined by role, level, and location. Learn more about our Total Rewards philosophy .

AI is a fundamental part of how work gets done at Gusto. We expect all team members to actively engage with AI tools relevant to their role and grow their fluency as the technology evolves.

Requirements

vary by role and will be assessed during the interview process.

About The Role

: The Compliance Manager, Broker-Dealer Investment Adviser is an essential member of the Gusto Retirement Compliance Team, reporting to the Compliance Lead (Director). This role is the operational engine of the compliance program — owning execution, testing, surveillance, and day-to-day program management across both the RIA and BD entities. In this role, you would assist in supervising the compliance programs (including the governance of AI tools used across the compliance program), drive exam readiness, and ensure the program is running effectively, documented thoroughly, and defensible under SEC and FINRA scrutiny.

This is not a policy-only role, and it is not a passive-user-of-technology role. It requires someone who can move fluidly between strategic oversight and hands-on execution, who understands what it means to carry a compliance program in a regulated financial services environment, and who can serve as a supervisory principal over compliance and AI, ensuring tools are deployed lawfully, outputs are validated, and the program evolves alongside regulatory expectations.

About The Team

: Gusto operates RIA and BD affiliated entities, serving customers across the retirement savings landscape. Our Compliance Team is a lean, high-impact function responsible for maintaining robust, defensible compliance programs across both regulatory regimes, built to scale alongside the business. That includes staying ahead of how AI is reshaping compliance operations: the team actively governs and oversees AI tools used across the program, identifies where AI can responsibly expand team capacity, and ensures that any AI use meets the supervisory standards required by SEC and FINRA.

We are building a compliance program that is both modern and defensible.

What You’Ll Do

day-to-day: 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: advertising, complaints, AML, trade errors, books and records, vendor due diligence, cyber, OFAC, gifts and entertainment, fees and expenses, and more 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 F