Broker-Dealer Operations Manager

Gusto, Inc. • New York, NY

19h • $140,410 - $172,000 • Hybrid

About The Position

The Broker-Dealer Operations Manager will be a vital hands-on leader, responsible and accountable for the day-to-day operations, strategic planning, process design, and ensuring the reliability, accuracy and regulatory compliance of Gusto's broker/dealer subsidiary. Supervised by the broker/dealer’s outsourced by Principal Operations Officer (POO) and working directly with the broker/dealer’s CEO, you will execute and oversee 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.

Requirements

• 7+ years of experience in a financial operations, treasury, or back-office role, with at least 3 years in a leadership or managerial capacity, preferably within a broker-dealer or registered investment adviser environment.
• Required Licensing: FINRA SIE + Series 7 + Series 24.
• Proven ability to perform and oversee complex reconciliations and transaction research.
• High degree of comfort working with financial data, spreadsheets, and operational reporting systems.
• Exceptional organizational skills and meticulous attention to detail to manage and strategically improve daily, monthly, and quarterly operational cycles.
• Strong knowledge of cash and securities handling, settlement processes, and regulatory reporting requirements is a plus.
• Demonstrated ability to function at the Integrator level of AI fluency, consistently applying AI tools to complex analytical and operational tasks to drive efficiency and measurement accuracy.
• A Bachelor’s degree in Finance, Accounting, Business, or a related field.

Nice To Haves

• Strong knowledge of cash and securities handling, settlement processes, and regulatory reporting requirements is a plus.

Responsibilities

• Design, implement, and maintain scalable operational controls and procedures under the POO's supervision, ensuring strict adherence to internal controls and regulatory standards.
• Oversee and serve as the final point of escalation for daily processes, including manual money movement of customer funds (e.g., daily payment release, stop-and-reissue checks).
• Lead the research and resolution of complex or unexpected breaks in calculations and transactions, including inbound and outbound money movement and trades.
• Manage the monthly review and resolution of expected errors in customer account statements, dividends, and interest payments.
• Coordinate the quarterly reconciliation and reporting of discrepancies in the security count held by the Broker-Dealer against the custodian's report.
• Mentor and provide guidance to operations team members on best practices and regulatory compliance.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager