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 customers. With teams in Denver, San Francisco, and New York, we support more than 500,000 small businesses nationwide and are building a workplace that reflects the people we serve.
All full-time employees receive competitive base pay, benefits, and equity (RSUs) — because everyone who helps build Gusto should share in its success. Offer amounts are determined by role, level, and location. Learn more about our Total Rewards philosophy.
AI is a fundamental part of how work gets done at Gusto. We expect all team members to actively engage with AI tools relevant to their role and grow their fluency as the technology evolves. AI experience requirements vary by role and will be assessed during the interview process.
About the Role:
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.
In this role, you would own the supervisory architecture (including the governance of AI tools used across the compliance program), drive exam readiness, and ensure the program is running effectively, documented thoroughly, and defensible under SEC and FINRA scrutiny. This is not a policy-only role, and it is not a passive-user-of-technology role. It requires someone who can move fluidly between strategic oversight and hands-on execution, who understands what it means to carry a compliance program in a regulated financial services environment, and who can serve as a supervisory principal over AI, ensuring tools are deployed lawfully, outputs are validated, and the program evolves alongside regulatory expectations.
About the 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:
Here’s what we're looking for:
Our cash compensation amount for this role is $156,170/yr to $192,610/yr in Denver & most major metro locations, and $183,830/yr to $226,724/yr for San Francisco & New York. Final offer amounts are determined by multiple factors including candidate location, experience and expertise and may vary from the amounts listed above.
Gusto has physical office spaces in Denver, San Francisco, and New York City. Employees who are based in those locations will be expected to work from the office on designated days approximately 2-3 days per week (or more depending on role). The same office expectations apply to all Symmetry roles, Gusto's subsidiary, whose physical office is in Scottsdale.
Note: The San Francisco office expectations encompass both the San Francisco and San Jose metro areas.
When approved to work from a location other than a Gusto office, a secure, reliable, and consistent internet connection is required. This includes non-office days for hybrid employees.
Our customers come from all walks of life and so do we. We hire great people from a wide variety of backgrounds, not just because it's the right thing to do, but because it makes our company stronger. If you share our values and our enthusiasm for small businesses, you will find a home at Gusto.
Gusto is proud to be an equal opportunity employer. We do not discriminate in hiring or any employment decision based on race, color, religion, national origin, age, sex (including pregnancy, childbirth, or related medical conditions), marital status, ancestry, physical or mental disability, genetic information, veteran status, gender identity or expression, sexual orientation, or other applicable legally protected characteristic. Gusto considers qualified applicants with criminal histories, consistent with applicable federal, state and local law. Gusto is also committed to providing reasonable accommodations for qualified individuals with disabilities and disabled veterans in our job application procedures. We want to see our candidates perform to the best of their ability. If you require a medical or religious accommodation at any time throughout your candidate journey, please fill out this form and a member of our team will get in touch with you.
Gusto takes security and protection of your personal information very seriously. Please review our
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