Head Of Brokerage Operations

Gusto, Inc.

New York, NY, United States
Base: $177,020 to $208,000; bonus/equity: competit...
On-site
Establish operational architecture from ground up
Manage complex reconciliations and transaction research
Ensure finra/sec regulatory compliance standards
This role serves as the primary architect for Gusto's in-house carrying broker-dealer operations, establishing policies and work plans from the ground up

Job Summary

  • This role serves as the primary architect for Gusto's in-house carrying broker-dealer operations, establishing policies and work plans from the ground up.
  • The successful candidate will ensure the highest standards of FINRA/SEC compliance while managing the accurate movement of customer funds and securities transactions.
  • Gusto offers competitive base pay, benefits, equity (RSUs), and expects all team members to actively engage with AI tools relevant to their role.

Matching Summary

This role serves as the primary architect for Gusto's in-house carrying broker-dealer operations, establishing policies and work plans from the ground up.

Salary

Base: $177,020 to $208,000; Bonus/Equity: Competitive base pay plus equity (RSUs); Benefits: Full-time employees receive comprehensive benefits

Skills & Requirements

Must-have

  • Establish operational architecture from ground up
  • Manage complex reconciliations and transaction research
  • Ensure FINRA/SEC regulatory compliance standards
  • Lead AI-native team with high ROI focus
  • Oversee Internal Controls Over Compliance (ICOC)

Nice-to-have

  • Experience in retirement industry dynamics
  • Collaboration with external regulators
  • Fluency in banking and clearing technology systems
  • Proven track record in process excellence

Key Requirements

  • 10+ years financial operations or treasury experience
  • 5+ years leadership or managerial capacity
  • FINRA SIE + Series 7 + Series 24 licenses required
  • In-depth knowledge of SEC Rule 15c3-1, 15c3-3, 17a-3, and 17a-4
  • Bachelor's degree in Finance, Accounting, Business, or related field

Work Rights

Not specified

Tailored Resume

Cover Letter