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Compliance Manager at Gusto, Inc. - ApplyBlast

Compliance Manager

Gusto, Inc.

3 months ago

1.2 on Glassdoor

San Francisco, California

Hybrid

Full Time

Senior

5 applicants

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About this role

The Compliance Manager, Broker-Dealer & Investment Adviser at Gusto leads day-to-day operations of the compliance program for both RIA and BD entities, ensuring adherence to SEC and FINRA regulations. Responsibilities include managing state registrations, executing annual testing cycles, overseeing electronic communications surveillance, and integrating AI governance into compliance workflows. The role requires deep regulatory knowledge, hands-on execution, and the ability to collaborate with external consultants during regulatory exams.

Responsibilities

Lead FINRA state registration obligations across all jurisdictions
Execute annual compliance testing cycles for advertising and AML
Manage electronic communications surveillance via Global Relay
Oversee AI governance frameworks within the compliance program
Support regulatory exam readiness and regulator requests

Skills

Qualifications

Active Series 7 LicenseActive Series 24 LicenseActive SIE LicenseSeries 63 License

About Gusto, Inc.

gusto.com

Headquarters

San Francisco, California, United States

Company Size

1001-5000 employees

Founded

2011

View Profile

Gusto is a cloud-based people platform that helps small and midsize businesses run payroll, manage benefits, and handle HR and compliance. Its product suite includes automated payroll and tax filing, contractor payments, employee onboarding and time tracking, plus benefits administration (health insurance, 401(k), etc.) and self-service tools for employees. Companies choose Gusto for its integrated, user-friendly experience, compliance automation, and broad integrations with accounting and productivity tools. Founded as ZenPayroll and later rebranded to Gusto, the company focuses on simplifying people operations for growing businesses.