Broker-Dealer Operations Associate

Gusto, Inc.•New York, NY

1d•$98,775 - $121,000•Hybrid

About The Position

The Broker-Dealer Operations Associate will be a vital member of the team, responsible for conducting the day-to-day operational tasks that ensure the accuracy and regulatory compliance of Gusto's broker/dealer subsidiary. You will 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 and a commitment to process excellence.

Requirements

4+ years of experience in a financial operations, treasury, or back-office role, preferably within a broker-dealer or registered investment adviser environment.
Required Licensing: FINRA SIE + Series 99.
Proven ability to perform 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 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.
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

Conduct day-to-day operations under the POO's supervision, ensuring strict adherence to internal controls and regulatory standards.
On a daily basis, manually process money movement of customer funds that cannot be automated (e.g.daily payment release, stop-and-reissue checks).
On a daily basis, research and resolve unexpected breaks in calculations and transactions, including inbound and outbound money movement and trades.
On a monthly basis, research and resolve expected errors in customer account statements, dividends, and interest payments.
On a quarterly basis, research and resolve discrepancies in the security count held by the Broker-Dealer against the custodian's report.

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