Compliance Lead, Broker-Dealer & Investment Adviser

Gusto, a payroll, benefits, and HR platform supporting more than 500,000 small businesses, is hiring a Compliance Lead, Broker-Dealer & Investment Adviser as a senior member of its Retirement Compliance Team, reporting directly to the Head of Compliance. The role is the operational backbone of the compliance program, owning the compliance programs of the Registered Investment Adviser (RIA) and Broker-Dealer (BD) entities, including their AI governance frameworks.

The Compliance Lead owns the supervisory architecture (including governance of AI tools used across the compliance program), drives exam readiness, and ensures the program is running effectively, documented thoroughly, and defensible under SEC and FINRA scrutiny. The role requires moving fluidly between strategic oversight and hands-on execution.

Gusto expects the role to govern AI tools used within the compliance program, owning supervisory control testing, advertising review, and regulatory filings across both RIA and BD entities.

Qualifications

• 7+ years of compliance experience at a FINRA-registered broker-dealer and SEC-registered investment adviser
• Deep working knowledge of FINRA Rules and SEC Rules (Marketing Rule, Reg S-P, Reg S-ID), GLBA, and the Bank Secrecy Act
• Proven track record owning regulatory filings (Form BD, ADV, U4/U5, CRS) and leading exam preparation
• Familiarity with compliance technology (e.g., ComplySci, Global Relay) and AI governance frameworks
• Active SIE, Series 7, and Series 24 licenses