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Compliance Lead, Broker-Dealer & Investment Adviser

Gusto

Role at a glance

Category: Compliance
Work arrangement: Hybrid
Location: Denver, CO
Salary range: $156,170 to $226,724
Posted: Jun 13, 2026

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Gusto is hiring a Compliance Lead, Broker-Dealer & Investment Adviser in Denver, CO. This is a Compliance role in the governance, risk, and compliance field, with a posted range of $156,170 to $226,724. Review the full details below and apply directly with Gusto.

Gusto, a payroll, benefits, and HR platform supporting more than 500,000 small businesses, is hiring a Compliance Lead, Broker-Dealer & Investment Adviser as a senior member of its Retirement Compliance Team, reporting directly to the Head of Compliance. The role is the operational backbone of the compliance program, owning the compliance programs of the Registered Investment Adviser (RIA) and Broker-Dealer (BD) entities, including their AI governance frameworks. The Compliance Lead owns the supervisory architecture (including governance of AI tools used across the compliance program), drives exam readiness, and ensures the program is running effectively, documented thoroughly, and defensible under SEC and FINRA scrutiny. The role requires moving fluidly between strategic oversight and hands-on execution. Gusto expects the role to govern AI tools used within the compliance program, owning supervisory control testing, advertising review, and regulatory filings across both RIA and BD

Full responsibilities and requirements are on Gusto's application page.

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About Gusto

Hiring for governance, risk, and compliance roles on GRC Careers.

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Location and market context

This role is based in Denver, CO on a hybrid schedule. Local candidates benefit from being close to Gusto's teams and regional hiring market, while the hybrid arrangement offers some flexibility. Confirm the exact in-office expectation and any relocation support with the employer.

About compliance roles

Compliance programs turn law, regulation, and policy into controls the business can actually run. Demand is strongest where regulatory change, enforcement risk, and new technology intersect. Roles like this one are typically evaluated against frameworks such as relevant regulatory frameworks, control libraries, and audit and monitoring practices.

How to position yourself for this compliance role

Strong candidates emphasize building and monitoring controls, regulatory mapping, policy and training, and partnering with the business to make compliance practical. In your resume and outreach, tie your experience to how Gusto would apply relevant regulatory frameworks, control libraries, and audit and monitoring practices, and lead with concrete outcomes rather than duties.