# Broker-Dealer Operations Manager

**Company:** [Gusto](https://hotfix.jobs/companies/gusto)
**Location:** Denver, CO, New York, NY
**Role:** Finance & Accounting
**Salary:** $151k – $208k/yr
**Experience:** 10+ years
**Skills:** Finra Sie, Series 7, Series 24, Sec Rule 15C3-1, Sec Rule 15C3-3, Sec Rules 17A-3 And 17A-4, Financial Operations, Broker-Dealer Operations, Reconciliations, Transaction Research, Regulatory Reporting, Banking Technology, Clearing Technology, AI Agents
**Posted:** 2026-08-28

> Leads the design and operation of an in-house carrying broker-dealer, including money movement, trade clearing, reconciliations, controls, and regulatory reporting. Requires 10+ years in financial operations or related fintech roles, broker-dealer licensing, and experience leading teams or projects.

## Job Description

## Responsibilities
- Establish the foundational operational objectives, policies, procedures, and work plans for a carrying broker-dealer.
- Design scalable processes for customer money movement and trade clearing.
- Serve as the final authority on operational exceptions, including payment releases, ACH reversals, securities settlement breaks, and net-capital discrepancies.
- Architect and maintain an audit-ready operational control environment and Internal Controls Over Compliance (ICOC).
- Ensure transaction data integrity for financial reporting and annual PCAOB audits.
- Partner with Engineering, Product, Legal, Compliance, FinOp, Accounting, and FP&A to build broker-dealer operations and support investment-product expansion.
- Establish team direction, manage costs, optimize headcount and AI-agent ROI, and oversee performance management and professional development.

## Requirements
- 10+ years of experience in financial operations, treasury, compliance operations, process optimization, or back-office roles within financial services or fintech.
- At least 5 years in project leadership or people-management roles.
- Current FINRA SIE, Series 7, and Series 24 licenses, or ability to obtain SIE and Series 7 within two months and Series 24 within four months of starting.
- Knowledge of SEC Rule 15c3-1, SEC Rule 15c3-3, and SEC Rules 17a-3 and 17a-4.
- Experience performing and overseeing complex reconciliations and transaction research.
- Comfort with analytical tools, banking technology, clearing technology, and financial data/reporting systems.
- Exceptional organization and attention to detail across daily, monthly, and quarterly operational cycles.
- Demonstrated ability to use AI for defined operational tasks, prompting, output evaluation, tool-integrated agents, and efficiency improvements.
- Ability to collaborate with cross-functional stakeholders, external partners, and regulators.
- Bachelor's degree in Finance, Accounting, Business, or a related field.

## Nice-to-haves
- Knowledge of cash and securities handling, settlement processes, and regulatory reporting requirements.

## Compensation
- Denver, Colorado: $150,640–$177,000 annual cash compensation.
- New York, New York: $177,020–$208,000 annual cash compensation.
- Full-time employees receive benefits and equity (RSUs).
- Typical schedule is 9:00 a.m.–5:00 p.m. local time; Denver-based employees may occasionally start at 9:30 a.m. Eastern Time.
- Employees based in Denver and New York generally work from the office 2–3 days per week or more depending on the role.

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