Compliance Manager, Broker-Dealer & Investment AdviserActive$424K

Hybrid · Denver, CO;San Francisco, CA;New York, NYBusiness

The opportunity

About Gusto At Gusto, we're on a mission to grow the small business economy. We handle the hard stuff — payroll, health insurance, 401(k)s, and HR — so owners can focus on their craft and their customers.

What they're looking for

  • Own Code of Ethics attestation cycles, desktop procedure management, and: client agreements and disclosures review
  • Assist the Compliance Lead with regulatory filings including ADV and CRS
  • Create and administer compliance training materials across key program areas
  • Manage compliance tools including user management, brokerage feed links, and ongoing configuration