Description

You will architect and lead the operational foundation for Gusto's new broker-dealer entity. You'll design policies, oversee money movement and trade clearing, manage escalations, and ensure FINRA/SEC compliance, directly impacting customer asset security and regulatory standing.

Requirements

• Proven experience in broker-dealer operations, including money movement and trade clearing
• Deep knowledge of FINRA/SEC compliance and regulatory reporting
• Experience designing and scaling operational processes from ground up
• Strong judgment and decision-making skills in high-stakes regulatory environments
• Ability to influence cross-functional stakeholders and build consensus

Responsibilities

• Establish operational architecture, policies, and procedures for the carrying broker-dealer
• Serve as final authority on operational exceptions, applying judgment to resolve unusual circumstances
• Architect and maintain operational controls for audit-readiness and compliance with FINRA/SEC
• Orchestrate cross-functional collaboration with Engineering, Product, Legal, Compliance, and Finance
• Build and lead a small AI-native operations team