Gusto
Builtin · Indexed 2026-08-21
Compliance Manager, Broker-Dealer & Investment Adviser
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Indexed description
Gusto Compliance Manager, Broker-Dealer & Investment Adviser Reposted 12 Hours AgoSaved Easy Apply Hybrid 3 Locations Easy Apply 111K-165K Annually Senior level 111K-165K Annually Senior levelFintech • HR TechManage and execute the RIA and BD compliance program: registration and filings, surveillance, testing, advertising review, training, electronic communications monitoring, vendor due diligence, AI governance, exam readiness, and day-to-day program operations supporting SEC and FINRA requirements.Top Skills: Ai ToolsComplysciGlobal Relay
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