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Senior Compliance Lead, Broker-Dealer & RIA; AI Governance
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-05-04
Listing for:
Gusto
Full Time
position Listed on 2026-05-04
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Crime
Job Description & How to Apply Below
Location: New York
Gusto is seeking a Compliance Lead for its Retirement Compliance Team in San Francisco. This senior role entails owning the compliance programs for the Registered Investment Adviser and Broker-Dealer entities, ensuring frameworks and controls align with regulatory requirements. Ideal candidates will have over seven years of compliance experience, strong knowledge of FINRA and SEC rules, and excellent written communication skills.
The position involves leading regulatory matters and managing compliance training programs, offering competitive pay and benefits.
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Position Requirements
10+ Years
work experience
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