About the Role:

The Compliance Lead, Broker-Dealer & Investment Adviser is a senior member of the Gusto Retirement Compliance Team, reporting directly to the Head of Compliance. This role is the operational backbone of the compliance program, owning the compliance programs of the Registered Investment Advisor (RIA) and Broker-Dealer (BD) entities, including their AI governance frameworks, and serving as a trusted senior member of the RIA/BD Compliance team.

Here’s what you’ll do day-to-day:

• Own and mature the end-to-end compliance program across both the BD and RIA, ensuring the frameworks, controls, and infrastructure, including AI governance, keep pace with Gusto’s growth
• Serve as the primary compliance lead on all FINRA and SEC regulatory matters, including filings, examinations, supervisory control testing, and evolving regulatory guidance on AI use in compliance programs
• Lead and develop the relationship with compliance consulting firm(s), directing their work across both entities and ensuring coverage is aligned with Gusto’s risk posture
• Build and maintain policies and procedures across both entities, covering advertising, Reg SP, complaints, books and records, BCP, Code of Ethics/Conduct, trade errors and more
• Own incident management and escalation, including compliance violations, whistleblowing, and heightened supervision, and report trends to the Head of Compliance
• Partner cross-functionally with Legal, Product, Finance, Marketing, Sales, and FinCrime to embed compliance into how Gusto builds and sells
• Supervise AI tools used across the compliance program, including ongoing review and testing, ensuring outputs are validated by qualified licensed humans, identifying opportunities to expand team capacity, and flagging functions where AI use is not permitted
• Lead training programs and annual compliance meetings for both BD and RIA, and own the advertising and communications review process
• Assess whether resources, controls, and coverage are sufficient as Gusto scales into new markets and upmarket customer segments
• Oversee all firm filings, employee registrations and licensing across the BD and RIA, including U4/U5, fingerprints, background checks, CRD, Form CRS, Form BD, ADV, and more
• Lead suitability, rebalancing, and custody review and testing for the RIA, including coordination of the annual Surprise Custody Exam

Are you interested in this position?

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