Brokerage Operations Leader

Gusto · Denver, CO - Hybrid; New York, New York, United Statessenior

In short

▸Líder fundacional de operaciones en un broker-dealer de Gusto, diseñando procesos desde cero.
▸Day-to-day: gestión de flujo de fondos, reconciliaciones, auditorías y toma de decisiones en excepciones complejas.
▸Destacado: ser el primer líder operativo en un entorno financiero regulado (FINRA/SEC) con enfoque en IA y escalabilidad.

We expect all team members to actively engage with AI tools relevant to their role.

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What they ask for

✓Experiencia fundacional en operaciones de broker-dealer o institución financiera regulada.
✓Capacidad para construir procesos desde cero (0 a 1).
✓Conocimiento profundo de cumplimiento regulador (FINRA/SEC).
✓Capacidad para tomar decisiones estratégicas en casos sin precedentes.
✓Habilidades avanzadas en reconciliación de transacciones y control de riesgos.
✓Experiencia con sistemas de liquidación y movimiento de fondos en entornos financieros.

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FINRASECAI-native infrastructurebroker-dealer operationsmoney movementtrade clearingtransaction reconciliationremediationreportingnet-capital calculation

Who should you write to at Gusto?

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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: As the Founding Operations Leader at Gusto's broker-dealer entity, you will be the primary architect of our in-house carrying broker-dealer operations. You aren't here to follow a manual; you are here to write it. You will establish the operational objectives, policies, and work plans from the ground up, ensuring our AI-native infrastructure meets the highest standards of FINRA/SEC compliance and protect customers’ assets. You will report to and partner with the Head of Gusto's broker-dealer entity. You will build our operational blueprint serving as the bridge between customer impact, technical innovation and regulatory rigor. You will design, oversee and execute essential back-office functions, focusing on the accurate movement of customer funds, transaction reconciliation and remediation, and reporting required for our broker-dealer entity. This role requires meticulous attention to detail, a commitment to process excellence and efficiency, and proven ability to lead and scale operational processes. About the Team: Gusto’s broker-dealer entity, a registered broker-dealer owned by Gusto Inc, forms the foundation for Gusto to expand our product offerings in retirement and investment. Gusto’s broker-dealer entity acts as the custodian of customers’ retirement assets and facilitates money movement and securities transactions, by integrating with the banking rails and clearing rails in the financial system. As a collaborative and technical group, we focus on designing, implementing, and monitoring the proprietary system and processes that meet the evolving demands of the retirement industry and regulatory landscape. You will join a team committed to building operational solutions that scale with Gusto’s mission to serve the small business economy. Here’s what you’ll do day-to-day: • Establish Operational Architecture: Author and implement the foundational operational objectives, policies, and procedures for our carrying broker-dealer. You will design the "0-to-1" work plans for money movement and trade clearing that will scale as we grow. • Strategic Escalation & Decision Making: Serve as the final authority on operational exceptions. You will apply sophisticated judgment to resolve unusual circumstances where no precedent exists, understanding that your decisions directly impact Gusto’s results and long-term regulatory standing. Examples are complex stop-and-reissue checks, manual payment releases, ACH reversals, securities settlement breaks, net-capital calculation discrepancy), • Controls & Audit Governance: Architect and maintain an operational control environment that meets the rigorous standards comparable to publicly t

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