The opportunity
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 you'll do
Lead and maintain FINRA state registration obligations across all required jurisdictions
Support employee registration filings including U4, U5, fingerprints, and background checks
Own and execute the compliance calendar: track deadlines, drive timely completion, and escalate to the Compliance Lead as needed
Lead the annual review and testing cycle across all compliance program areas:: advertising, complaints, AML, trade errors, books and records, vendor due diligence, cyber, OFAC, gifts and entertainment, fees and expenses, and more
Own electronic communications surveillance in Global Relay including keyword configuration and user access
Lead advertising and collateral approval including FINRA submissions, the: advertising log, and annual advertising training
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
