Compliance Manager, Broker-Dealer & Investment Adviser
gusto · Denver, CO;San Francisco, CA;New York, NY
- Posted
- 18 days ago
- Last confirmed live
- 2 days ago
What this role involves
Compliance Manager responsible for overseeing broker-dealer and investment adviser compliance programs. Owns execution of compliance calendar, testing, surveillance, and registration filings. Reports to Compliance Lead and ensures program meets SEC and FINRA standards.
Skills this posting asks for
- compliance management
- broker-dealer regulations
- investment adviser regulations
- finra
- sec
- ai governance
- global relay
- aml
- ofac
- electronic communications surveillance
- u4/u5 filings
- background checks
- advertising review
- code of ethics
- vendor due diligence
- books and records
- trade errors
- gifts and entertainment
- cyber compliance
- risk assessment
- regulatory exam readiness
- desktop procedures
- client agreements
- disclosures
Requirements
- Level: manager
From the employer’s posting
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 custom…
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