gusto
Brokerage Operations Specialist
At a Glance
- Location
- New York, United States
- Experience
- 4+ years
- Compensation
- sation range for this role is $98,775 to $121,000 in New York, NY. Final offer
- Posted
- 2026-03-11T13:00:03-04:00
Key Requirements
Domain Knowledge
- Accounting
- Finance
- Medical
- Regulatory
Benefits & Perks
stuff—like payroll, health insurance, 401(k)s, and HR—so owners can focus on
Requirements
in a financial operations, treasury, or back-office role, preferably within a broker-dealer or registered investment adviser environment.
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.
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.
Responsibilities
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.
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.
Team
The team within the Broker Dealer entity supporting the Retirement team at Gusto is crucial for expanding our financial offerings. We are responsible for executing the critical broker-dealer functions, including operational integrity, transaction settlement, and regulatory reporting functions for the Retirement organization. As a collaborative and technical group, we focus on designing, implementing, and monitoring the controls and processes that meet the evolving demands of the financial and retirement industries. You will join a team committed to building operational solutions that scale with Gusto’s mission to serve the small business economy.