Compliance Lead, Broker-Dealer & Investment Adviser at Gusto · LumiJobs · LumiJobs

Responsibilities

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.
Gusto operates RIA and BD affiliated entities, serving customers across the retirement savings landscape. Our Compliance Team is a lean, high-impact function responsible for maintaining robust, defensible compliance programs across both regulatory regimes, built to scale alongside the business. That includes staying ahead of how AI is reshaping compliance operations: the team actively governs and oversees AI tools used across the program, identifies where AI can responsibly expand team capacity, and ensures that any AI use meets the supervisory standards required by SEC and FINRA. We are building a compliance program that is both modern and defensible.
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

Compliance Lead, Broker-Dealer & Investment Adviser

Responsibilities

Benefits

Company

Gusto

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