Brokerage Operations Specialist

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.

The Brokerage Operations Specialist is a subject matter expert in back-office mechanics in money movement and securities transactions. This role is a critical member of the team, responsible for ensuring Gusto broker-dealer entity’s accuracy and regulatory compliance of day-to-day movement of customer funds, securities transaction reconciliation and remediation, and regulatory reporting requirements.

Here’s what you’ll do day-to-day:

• Own the daily operational lifecycle: You will independently manage the daily flow of customer funds and securities transactions between Gusto’s broker-dealer entity and our banking/clearing partners.
• Investigative Exception Management: You’ll handle high-stakes exceptions, ensuring regulatory deadlines and customer expectations are met without sacrificing accuracy.
• Control Evidencing & Audit Readiness: You will independently perform daily, monthly and quarterly reconciliations for customer account statements, dividends, and security counts.
• Cross-Functional Collaboration: You will act as the eyes and ears on the ground, recommending product solutions to our Engineering and Product teams on how manual workarounds can be translated into automated code.

Here’s what we're looking for:

• 5+ years of experience in a financial operations, treasury, or back-office role, preferably within a carrying broker-dealer or registered investment adviser environment.
• Required Licensing: FINRA SIE + Series 99
• Knowledge in SEC Rule 15c3-1 (Net Capital Rule), SEC Rule 15c3-3 (Customer Protection Rule), SEC Rule 17a-3 and 17a-4 (Recordkeeping Rule)
• Knowledge of cash and securities handling, settlement processes, and regulatory reporting requirements is a plus.
• Proven ability to perform complex reconciliations and transaction research.
• High degree of comfort working with analytical tools, banking technology systems, clearing technology systems, and financial data/reporting systems.
• Exceptional organizational skills and meticulous attention to detail to manage daily, monthly, and quarterly operational cycles.
• 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.

Our cash compensation range for this role is $102,130 to $120,000 in New York, NY.