Compliance Director, Broker-Dealer & Investment Adviser
Listed on 2026-11-06
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Finance & Banking
Regulatory Compliance Specialist
Gusto, a payroll and HR platform, is seeking a Compliance Manager to oversee the broker-dealer and investment adviser compliance programs, including governance of AI tools and day-to-day program management across RIA and BD entities.
Role requires supervising exam readiness, regulatory compliance, and collaboration with external consultants, with a focus on SEC and FINRA rules, privacy, and AML controls. Hybrid Denver-based role with office presence in several locations.
We invite applications for the Compliance Director, Broker-Dealer & Investment Adviser position located in Denver, CO, United States.
Step into the Compliance Director, Broker-Dealer & Investment Adviser role at We Hire You in Denver, CO, United States and grow with us.
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