You will work closely with the Customer Success team, who manage long-term relationships and renewals. Your role is to provide the reliable deployment and data foundation they need to help customers grow.
Head of Brokerage Operations
🔥 13 hours ago
Financial OperationsComplianceProcess OptimizationBack-office Functions
📜 Description
- Establish operational objectives, policies, and procedures for the broker-dealer.
- Design and oversee back-office functions, focusing on customer funds movement and transaction reconciliation.
- Serve as the final authority on operational exceptions and complex decision-making.
- Maintain an operational control environment that meets rigorous compliance standards.
- Collaborate with cross-functional teams to build Gusto's first carrying broker-dealer.
🛠️ Requirements
- 10+ years of experience in financial operations or compliance roles.
- At least 5 years in a project leadership or managerial capacity.
- Required Licensing: FINRA SIE + Series 7 + Series 24 or ability to obtain them.
- Knowledge of SEC regulations and cash handling processes.
- Proven ability to perform complex reconciliations and transaction research.
- Exceptional organizational skills and attention to detail.
- Demonstrated ability to use AI effectively in operational tasks.
- Bachelor's degree in Finance, Accounting, Business, or related field.
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