Compliance Manager
External
Gusto · US$111K–$165K/yrFull-timeOn-siteToday
Compliance
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About the role
Manage and execute the RIA and BD compliance program: registration and filings, surveillance, testing, advertising review, training, electronic communications monitoring, vendor due diligence, AI governance, exam readiness, and day-to-day program operations supporting SEC and FINRA requirements.
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Company Intel
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