Compliance Director, Broker-Dealer & Investment Adviser

Posted yesterday

wehireyouDenver (CO)

Compliance Managers Miscellaneous Financial Investment Activities

SENIORITY

Manager

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About the role

Gusto, a payroll and HR platform, is seeking a Compliance Manager to oversee the broker-dealer and investment adviser compliance programs, including governance of AI tools and day-to-day program management across RIA and BD entities. Role requires supervising exam readiness, regulatory compliance, and collaboration with external consultants, with a focus on SEC and FINRA rules, privacy, and AML controls. Hybrid Denver-based role with office presence in several locations.

Before you apply

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Your profile is current

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A number in mind

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Your notice period

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