Director of Brokerage Operations

About This Role

Key ResponsibilitiesAI-extracted

• 1
  Establish the operational architecture for Gusto's broker-dealer entity, including policies and procedures for money movement and trade clearing.
• 2
  Serve as the final authority on operational exceptions, applying sophisticated judgment to resolve unusual circumstances.
• 3
  Architect and maintain an operational control environment that meets rigorous standards, ensuring robust internal controls and audit-ready processes.
• 4
  Collaborate with cross-functional teams, including Engineering, Product, Legal, Compliance, and Accounting, to build Gusto's carrying broker-dealer.
• 5
  Design, oversee, and execute essential back-office functions, focusing on accurate movement of customer funds, transaction reconciliation, and reporting.

RequirementsAI-extracted

• 10+ years of experience in a financial operations, treasury, or back-office role, with at least 5 years in a leadership or managerial capacity.
• Required licensing: FINRA SIE + Series 7 + Series 24.
• In-depth knowledge of SEC rules, including Rule 15c3-1, Rule 15c3-3, and Rule 17a-3 and 17a-4.
• Proven ability to perform and oversee complex reconciliations and transaction research.
• High degree of comfort working with analytical tools, banking technology systems, and financial data/reporting systems.

Perks & BenefitsAI-extracted