{"version":"0.1","company":{"name":"YubHub","url":"https://yubhub.co","jobsUrl":"https://yubhub.co/jobs/skill/finra"},"x-facet":{"type":"skill","slug":"finra","display":"Finra","count":8},"x-feed-size-limit":100,"x-feed-sort":"enriched_at desc","x-feed-notice":"This feed contains at most 100 jobs (the most recently enriched). For the full corpus, use the paginated /stats/by-facet endpoint or /search.","x-generator":"yubhub-xml-generator","x-rights":"Free to redistribute with attribution: \"Data by YubHub (https://yubhub.co)\"","x-schema":"Each entry in `jobs` follows https://schema.org/JobPosting. YubHub-native raw fields carry `x-` prefix.","jobs":[{"@context":"https://schema.org","@type":"JobPosting","identifier":{"@type":"PropertyValue","name":"YubHub","value":"job_6d630621-279"},"title":"VP, International Mid-Markets Relationship Manager","description":"<p>In this role, you will be responsible for driving growth and delivering exceptional value to US-headquartered corporates with international presence/ambitions and revenues ranging from ~$100MM to over $2BN.</p>\n<p>As a trusted advisor for a diverse portfolio of mid-cap corporates across Southern California and the West Coast, you will leverage your sector expertise and product knowledge to deliver innovative solutions, build enduring partnerships, and champion HSBC&#39;s commitment to being the Leading International Bank.</p>\n<p>Key responsibilities include:</p>\n<ul>\n<li>Growing and deepening relationships with existing clients and securing new, long-term relationships aligned with HSBC&#39;s international strategy</li>\n<li>Serving as a consultative partner, providing insights and guidance to help clients navigate complex global markets</li>\n<li>Collaborating with product specialists and international RMs in Global Network Banking across 60 countries to deliver tailored solutions, increasing HSBC&#39;s share of client global wallet</li>\n<li>Managing credit, operational, regulatory, and other risks to safeguard client and bank interests</li>\n<li>Ensuring full adherence to internal and external regulations governing the business</li>\n</ul>\n<p>To succeed in this role, you will have a Bachelor&#39;s degree and experience in Corporate Banking, managing mid-market or large corporate relationships. You will also have proven ability to match client needs with a wide range of solutions, including Treasury &amp; Cash Management, Trade Finance, Foreign Exchange, and debt/financing products.</p>\n<p style=\"margin-top:24px;font-size:13px;color:#666;\">XML job scraping automation by <a href=\"https://yubhub.co\">YubHub</a></p>","url":"https://yubhub.co/jobs/job_6d630621-279","directApply":true,"hiringOrganization":{"@type":"Organization","name":"HSBC","sameAs":"https://portal.careers.hsbc.com","logo":"https://logos.yubhub.co/portal.careers.hsbc.com.png"},"x-apply-url":"https://portal.careers.hsbc.com/careers/job/563774609242549","x-work-arrangement":"onsite","x-experience-level":"mid","x-job-type":"full-time","x-salary-range":null,"x-skills-required":["Commercial acumen","Economic, cultural, and regulatory trends","Communication, influencing, and stakeholder management skills","Commercial lending and risk assessment","FINRA Series 63 and 79 licenses"],"x-skills-preferred":[],"datePosted":"2026-04-18T22:10:00.807Z","jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Beverly Hills"}},"employmentType":"FULL_TIME","occupationalCategory":"Finance","industry":"Finance","skills":"Commercial acumen, Economic, cultural, and regulatory trends, Communication, influencing, and stakeholder management skills, Commercial lending and risk assessment, FINRA Series 63 and 79 licenses"},{"@context":"https://schema.org","@type":"JobPosting","identifier":{"@type":"PropertyValue","name":"YubHub","value":"job_2b1e423f-31d"},"title":"Wealth Relationship Officer","description":"<p>In compliance with applicable laws, HSBC is committed to employing only those who are authorised to work in the US. As a Wealth Relationship Officer, you will provide high-quality sales support to Wealth Relationship Managers, reducing their time spent on process and administrative tasks to increase their capacity to meet clients, address client needs, and conduct higher-value activities. You will also support Wealth Relationship Managers in managing client contact and service, including answering client calls, resolving client enquiries on transactional needs, and facilitating a smooth hand-off to the correct channels where appropriate.</p>\n<p>Key responsibilities include providing sales support to licensed sales staff, preparing and completing sales documents, managing data input and report generation, and liaising with support functions to follow through client purchase process requirements. You will also have regular contact with clients regarding their accounts, under the direction of a registered securities representative, and enter orders for clients and open new client accounts at the direction of the registered representative.</p>\n<p>To be successful in this role, you will have a strong understanding of the brokerage and banking industry, trading operations, banking products, and HSI&#39;s (HSBC Securities Inc. USA) brokerage products. You will also be registered or obtain approval for registration with the necessary States where registered representatives conduct business, and have good experience in the financial services industry. Additional requirements include knowledge of brokerage products and services, operations to support them, and pertinent regulations affecting their delivery, as well as Anti-Money Laundering and relevant regulatory governance in the US.</p>\n<p>As an HSBC employee, you will have access to tailored professional development opportunities to ensure you have the right skills for today and tomorrow. We offer a competitive pay and benefits package, including a robust Wellness Hub, in a welcoming and inclusive work environment.</p>\n<p style=\"margin-top:24px;font-size:13px;color:#666;\">XML job scraping automation by <a href=\"https://yubhub.co\">YubHub</a></p>","url":"https://yubhub.co/jobs/job_2b1e423f-31d","directApply":true,"hiringOrganization":{"@type":"Organization","name":"Intl Wealth & Premier Banking","sameAs":"https://portal.careers.hsbc.com","logo":"https://logos.yubhub.co/portal.careers.hsbc.com.png"},"x-apply-url":"https://portal.careers.hsbc.com/careers/job/563774609226839","x-work-arrangement":"onsite","x-experience-level":"mid","x-job-type":"full-time","x-salary-range":null,"x-skills-required":["FINRA Series 7 & 63","Life and Health insurance licenses","Brokerage products and services","Trading operations","Banking products","HSI's (HSBC Securities Inc. USA) brokerage products"],"x-skills-preferred":["Retail/Premier Bank sales","Relationship management systems (CRM and RM Platform, etc.)","Local and Group compliance regulations"],"datePosted":"2026-04-18T22:09:47.340Z","jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Scarsdale"}},"employmentType":"FULL_TIME","occupationalCategory":"Finance","industry":"Finance","skills":"FINRA Series 7 & 63, Life and Health insurance licenses, Brokerage products and services, Trading operations, Banking products, HSI's (HSBC Securities Inc. USA) brokerage products, Retail/Premier Bank sales, Relationship management systems (CRM and RM Platform, etc.), Local and Group compliance regulations"},{"@context":"https://schema.org","@type":"JobPosting","identifier":{"@type":"PropertyValue","name":"YubHub","value":"job_8d5b5506-566"},"title":"Vice President, Chemicals Coverage","description":"<p>In this role, you will be responsible for covering existing Global Corporates relationships, primarily chemicals corporates within HSBC&#39;s Energy, Materials, and Power (EMP) group.</p>\n<p>As Vice President, Chemicals Coverage, you will develop and maintain a &#39;trusted advisor&#39; relationship and access at key decision-maker level for assigned current and target clients.</p>\n<p>You will support senior bankers in the delivery of the Bank to existing clients and prospects, working to reposition the firm to higher-value strategic solicitation, enhancing the perception of the Bank among its existing and prospective clients.</p>\n<p>You will coordinate origination and execution of &#39;event-driven&#39; or major &#39;significant flow&#39; business, building the Global Corporates franchise value/reputation in the marketplace.</p>\n<p>You will drive achievement against targets for revenue generation, product alignment, customer satisfaction, and cost management, establishing and maintaining networks for cooperation with other HSBC businesses.</p>\n<p>You will aggressively grow HSBC&#39;s share of client wallet, involving product specialists to ensure product capabilities are in line with client/sector requirements.</p>\n<p>You will manage deal and execution teams established for client transactions and ensure that deals are completed both in a timely and effective manner.</p>\n<p>You will support the implementation of major change initiatives within Global Corporates and HSBC, understanding and ensuring compliance with all relevant internal and external rules, regulations, and procedures.</p>\n<p>You will maintain HSBC internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators.</p>\n<p>You will undertake all required activities as directed by line manager or as agreed in annual objectives in support of the sustainable growth of the Global Corporates segment.</p>\n<p>To succeed in this role, you will have a track record of building and developing relationships at CFO/Treasurer/Treasury team level, ability to develop a strategic dialogue with clients, progressive investment banking, corporate banking, consulting, or sector experience, and a deep understanding of corporate finance.</p>\n<p>You will have a proven record of leading and motivating deal teams, excellent knowledge of HSBC Group and products, and a strong network of contacts across all business areas.</p>\n<p>You will have a proven record of proactively originating and executing event-driven business, strong interpersonal and personal effectiveness skills, and the ability to collaborate with colleagues across Global Corporates to achieve collective sector and CIB goals.</p>\n<p>FINRA Series 79, 63, and 7 licenses are required in the role.</p>\n<p style=\"margin-top:24px;font-size:13px;color:#666;\">XML job scraping automation by <a href=\"https://yubhub.co\">YubHub</a></p>","url":"https://yubhub.co/jobs/job_8d5b5506-566","directApply":true,"hiringOrganization":{"@type":"Organization","name":"HSBC","sameAs":"https://portal.careers.hsbc.com","logo":"https://logos.yubhub.co/portal.careers.hsbc.com.png"},"x-apply-url":"https://portal.careers.hsbc.com/careers/job/563774610528694","x-work-arrangement":"onsite","x-experience-level":"senior","x-job-type":"full-time","x-salary-range":null,"x-skills-required":["investment banking","corporate banking","consulting","sector experience","corporate finance","deal teams","HSBC Group and products","network of contacts","event-driven business","interpersonal and personal effectiveness skills","collaboration","FINRA Series 79, 63, and 7 licenses"],"x-skills-preferred":[],"datePosted":"2026-04-18T22:08:54.465Z","jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"New York"}},"employmentType":"FULL_TIME","occupationalCategory":"Finance","industry":"Finance","skills":"investment banking, corporate banking, consulting, sector experience, corporate finance, deal teams, HSBC Group and products, network of contacts, event-driven business, interpersonal and personal effectiveness skills, collaboration, FINRA Series 79, 63, and 7 licenses"},{"@context":"https://schema.org","@type":"JobPosting","identifier":{"@type":"PropertyValue","name":"YubHub","value":"job_b408c8e2-551"},"title":"Associate Relationship Manager","description":"<p>In compliance with applicable laws, HSBC is committed to employing only those who are authorised to work in the US. As an Associate Relationship Manager, you will work closely with our Global Relationship Bankers to identify and develop business opportunities, jointly formulate client engagement strategies to deepen HSBC&#39;s global wallet share and grow revenues. You will develop relationships with both existing and prospective new customers, identify flow and event-driven opportunities, and assist GRBs with Client Plans and preparation of capital requests for submission to Strategic Client Origination / Credit &amp; Capital Management. You will also monitor and update deal pipelines, prepare and present sales pitch materials, provide outstanding client service, and coordinate with internal colleagues to ensure complete coverage of the portfolio from a local, regional, and global perspective. You will research prospective clients in the Tri-State region, manage credit, operational, regulatory, and other risks, and ensure the bank maintains compliance with internal policies and external regulatory requirements. You will maintain outstanding data quality in the bank&#39;s internal systems.</p>\n<p>You will likely have the following qualifications to succeed in this role:</p>\n<ul>\n<li>Bachelor&#39;s degree</li>\n<li>Strong willingness to learn, positive attitude, and a drive to succeed in this role and beyond</li>\n<li>A client-focused mindset with a &#39;can-do&#39; attitude</li>\n<li>Strong communication and influencing skills, with an ability to build long-term workplace relationships</li>\n<li>Proven experience in similar positions, working with international companies and identifying product opportunities with corporate clients and seeing them through to a successful implementation</li>\n<li>Ability to prioritise and manage multiple projects &amp; engagements</li>\n<li>Strong corporate banking product knowledge across Treasury/Cash Management, Foreign Exchange Trade Finance, and Capital Markets</li>\n<li>Understanding of regulatory and compliance processes</li>\n<li>Credit underwriting knowledge and experience</li>\n<li>Strong Windows capabilities; Excel, PowerPoint, Word, Outlook</li>\n<li>FINRA SIE, Series 63, and Series 79 licences are required. A contingency period to obtain licences can be provided at the discretion of the manager.</li>\n</ul>\n<p style=\"margin-top:24px;font-size:13px;color:#666;\">XML job scraping automation by <a href=\"https://yubhub.co\">YubHub</a></p>","url":"https://yubhub.co/jobs/job_b408c8e2-551","directApply":true,"hiringOrganization":{"@type":"Organization","name":"HSBC","sameAs":"https://portal.careers.hsbc.com","logo":"https://logos.yubhub.co/portal.careers.hsbc.com.png"},"x-apply-url":"https://portal.careers.hsbc.com/careers/job/563774610540989","x-work-arrangement":"onsite","x-experience-level":"mid","x-job-type":"full-time","x-salary-range":null,"x-skills-required":["corporate banking product knowledge","regulatory and compliance processes","credit underwriting knowledge","Windows capabilities","Excel","PowerPoint","Word","Outlook","FINRA SIE","Series 63","Series 79"],"x-skills-preferred":[],"datePosted":"2026-04-18T22:08:45.684Z","jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"New York"}},"employmentType":"FULL_TIME","occupationalCategory":"Finance","industry":"Finance","skills":"corporate banking product knowledge, regulatory and compliance processes, credit underwriting knowledge, Windows capabilities, Excel, PowerPoint, Word, Outlook, FINRA SIE, Series 63, Series 79"},{"@context":"https://schema.org","@type":"JobPosting","identifier":{"@type":"PropertyValue","name":"YubHub","value":"job_30e4b7e6-d1c"},"title":"Brokerage Operations Specialist","description":"<p>At Gusto, we&#39;re on a mission to grow the small business economy. We handle the hard stuff , payroll, health insurance, 401(k)s, and HR , so owners can focus on their craft and their customers.</p>\n<p>With teams in Denver, San Francisco, and New York, we support more than 400,000 small businesses nationwide and are building a workplace that reflects the people we serve. All full-time employees receive competitive base pay, benefits, and equity (RSUs) , because everyone who helps build Gusto should share in its success.</p>\n<p>Offer amounts are determined by role, level, and location. Learn more about our Total Rewards philosophy.</p>\n<p>AI is a fundamental part of how work gets done at Gusto. We expect all team members to actively engage with AI tools relevant to their role and grow their fluency as the technology evolves. AI experience requirements vary by role and will be assessed during the interview process.</p>\n<p>The Brokerage Operations Specialist is a subject matter expert in back-office mechanics in money movement and securities transactions. While your manager architects the framework, you own the investigative loop, navigate unusual circumstances and resolve breaks. This role is a critical member of the team, responsible for ensuring Gusto broker-dealer entity’s accuracy and regulatory compliance of day-to-day movement of customer funds, securities transaction reconciliation and remediation, and regulatory reporting requirements.</p>\n<p>This role also requires meticulous attention to detail and a commitment to process excellence</p>\n<p>Here’s what you’ll do day-to-day:</p>\n<ul>\n<li>Own the daily operational lifecycle: You will independently manage the daily flow of customer funds and securities transactions between Gusto’s broker-dealer entity and our banking/clearing partners. You are responsible for ensuring every transaction meets our strict Internal Control Over Compliance (ICOC) standards.</li>\n</ul>\n<ul>\n<li>Investigative Exception Management Rather than just processing data, you will handle high-stakes exceptions. You’ll manage money movement that requires professional judgment (e.g., complex stop-and-reissue checks, manual payment releases, ACH reversals, securities settlement breaks, net-capital calculation discrepancy), ensuring regulatory deadlines and customer expectations are met without sacrificing accuracy.</li>\n</ul>\n<ul>\n<li>Control Evidencing &amp; Audit Readiness: You will independently perform daily, monthly and quarterly reconciliations for customer account statements, dividends, and security counts. You’ll prepare and review the evidence for these controls, ensuring it is robust enough to withstand scrutiny from independent auditors and regulators.</li>\n</ul>\n<ul>\n<li>Cross-Functional Collaboration: You will act as the eyes and ears on the ground, recommending product solutions to our Engineering and Product teams on how manual workarounds can be translated into automated code. You will engage with our external banking/clearing partners to resolve difficult operational matters.</li>\n</ul>\n<p>Here’s what we&#39;re looking for:</p>\n<ul>\n<li>5+ years of experience in a financial operations, treasury, or back-office role, preferably within a carrying broker-dealer or registered investment adviser environment.</li>\n</ul>\n<ul>\n<li>Required Licensing: FINRA SIE + Series 99</li>\n</ul>\n<ul>\n<li>Knowledge in SEC Rule 15c3-1 (Net Capital Rule), SEC Rule 15c3-3 (Customer Protection Rule), SEC Rule 17a-3 and 17a-4 (Recordkeeping Rule)</li>\n</ul>\n<ul>\n<li>Knowledge of cash and securities handling, settlement processes, and regulatory reporting requirements is a plus.</li>\n</ul>\n<ul>\n<li>Proven ability to perform complex reconciliations and transaction research.</li>\n</ul>\n<ul>\n<li>High degree of comfort working with analytical tools, banking technology systems, clearing technology systems, and financial data/reporting systems.</li>\n</ul>\n<ul>\n<li>Exceptional organizational skills and meticulous attention to detail to manage daily, monthly, and quarterly operational cycles.</li>\n</ul>\n<ul>\n<li>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.</li>\n</ul>\n<ul>\n<li>A Bachelor’s degree in Finance, Accounting, Business, or a related field.</li>\n</ul>\n<p>Our cash compensation range for this role is $102,130 to $120,000 in New York, NY. Final offer amounts are determined by multiple factors including candidate location, experience, and expertise.</p>\n<p style=\"margin-top:24px;font-size:13px;color:#666;\">XML job scraping automation by <a href=\"https://yubhub.co\">YubHub</a></p>","url":"https://yubhub.co/jobs/job_30e4b7e6-d1c","directApply":true,"hiringOrganization":{"@type":"Organization","name":"Gusto","sameAs":"https://www.gusto.com/","logo":"https://logos.yubhub.co/gusto.com.png"},"x-apply-url":"https://job-boards.greenhouse.io/gusto/jobs/7586212","x-work-arrangement":"hybrid","x-experience-level":"senior","x-job-type":"full-time","x-salary-range":"$102,130 - $120,000","x-skills-required":["FINRA SIE","Series 99","SEC Rule 15c3-1","SEC Rule 15c3-3","SEC Rule 17a-3","SEC Rule 17a-4","cash and securities handling","settlement processes","regulatory reporting requirements"],"x-skills-preferred":[],"datePosted":"2026-04-18T15:56:19.137Z","jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"New York, NY"}},"employmentType":"FULL_TIME","occupationalCategory":"Finance","industry":"Finance","skills":"FINRA SIE, Series 99, SEC Rule 15c3-1, SEC Rule 15c3-3, SEC Rule 17a-3, SEC Rule 17a-4, cash and securities handling, settlement processes, regulatory reporting requirements","baseSalary":{"@type":"MonetaryAmount","currency":"USD","value":{"@type":"QuantitativeValue","minValue":102130,"maxValue":120000,"unitText":"YEAR"}}},{"@context":"https://schema.org","@type":"JobPosting","identifier":{"@type":"PropertyValue","name":"YubHub","value":"job_9d8d91da-52f"},"title":"Enterprise Risk Management Lead","description":"<p>About Gusto</p>\n<p>At Gusto, we&#39;re on a mission to grow the small business economy. We handle the hard stuff , payroll, health insurance, 401(k)s, and HR , so owners can focus on their craft and their customers.</p>\n<p>With teams in Denver, San Francisco, and New York, we support more than 400,000 small businesses nationwide and are building a workplace that reflects the people we serve.</p>\n<p>All full-time employees receive competitive base pay, benefits, and equity (RSUs) , because everyone who helps build Gusto should share in its success. Offer amounts are determined by role, level, and location. Learn more about our Total Rewards philosophy.</p>\n<p>AI is a fundamental part of how work gets done at Gusto. We expect all team members to actively engage with AI tools relevant to their role and grow their fluency as the technology evolves. AI experience requirements vary by role and will be assessed during the interview process.</p>\n<p>About the Role:</p>\n<p>Gusto is scaling our AI-powered risk function to support a complex, multi-entity business operating in highly regulated environments. As the Enterprise Risk Management Lead, you will own and operate Gusto&#39;s Enterprise Risk and Third Party Risk Management programs , built AI-first, designed to scale, and built to enable the business to move fast without breaking things.</p>\n<p>This is a People Empowerer (manager) role. You balance hands-on program leadership with managing and developing a team of compliance professionals. You navigate the tension between &quot;doing the work&quot; and &quot;leading the work&quot; , contributing directly to complex, high-impact programs while ensuring your team delivers with excellence.</p>\n<p>You are a change agent who influences how automated risk management gets done at Gusto, models AI-enabled ways of working, and helps others grow their own capabilities in the process.</p>\n<p>You will champion the adoption of AI, machine learning, and process automation across risk monitoring, control testing, incident management, and reporting , and you will partner with Product, Data Science, and Engineering to make it explainable, adopted, compliant, and scalable.</p>\n<p>Here’s what you’ll do day-to-day:</p>\n<p>You manage initiatives that are complex in both scope and impact, influencing the strategic direction of Gusto&#39;s compliance risk management framework.</p>\n<p>You apply a deep understanding of the regulatory landscape and how it intersects with Gusto&#39;s business model to proactively design and lead cross-functional risk programs.</p>\n<p>You translate complex risk topics into clear, actionable guidance that senior leaders can immediately understand and operationalize.</p>\n<p>You lead cross-functional working groups, align divergent perspectives, and drive cohesive progress toward shared goals , with minimal oversight.</p>\n<p>As a PE, you balance individual risk and compliance contribution with team leadership.</p>\n<p>You manage operations, professional development, resource allocation, and performance , while staying close enough to the work to be a credible, hands-on partner to your team and stakeholders.</p>\n<p>You model responsible AI use, and act as a source of knowledge and mentorship , supporting your team&#39;s AI journey and helping others apply it responsibly and effectively.</p>\n<p>AI-Enabled Risk Operations, Innovation &amp; Transformation</p>\n<p>This is how you and your team operate , not a side project.</p>\n<ul>\n<li>Champion the adoption of AI, machine learning, process automation, and advanced analytics to improve risk monitoring, control testing, and reporting across ERM, TPRM, and broader compliance functions</li>\n</ul>\n<ul>\n<li>Lead the integration of AI and automation into every phase of the risk lifecycle: vendor assessments, document ingestion and analysis, continuous monitoring and alerting, risk scoring, prioritization, and trend analysis</li>\n</ul>\n<ul>\n<li>Build intelligent risk monitoring and evaluation systems , including auto-tagging for risk issues, audit requests, and regulatory changes , that improve real-time visibility and eliminate manual effort across the enterprise risk portfolio</li>\n</ul>\n<ul>\n<li>Drive the digitalization of risk tools including RCSAs, KRIs, incident reporting, and audit tracking , transforming periodic, reactive processes into continuous intelligence systems with live leading and lagging indicators that enable real-time decision-making</li>\n</ul>\n<ul>\n<li>Partner with Product, Data Science, and Engineering to define requirements for AI-driven workflows, decisioning engines, and dashboards , ensuring explainability, auditability, and regulatory defensibility of all AI-enabled risk decisions</li>\n</ul>\n<ul>\n<li>Design and build intelligent dashboards and reporting tools that deliver real-time risk visibility and decision-quality insights to senior leadership and cross-functional stakeholders</li>\n</ul>\n<ul>\n<li>Design AI workflows with appropriate validation loops, human-in-the-loop checkpoints, and guardrails , ensuring outputs are reliable, governable, and meet regulatory standards before being used to frame risks, recommendations, or decisions</li>\n</ul>\n<ul>\n<li>Stay current on AI advancements and emerging technologies and proactively integrate new capabilities into team operations to increase velocity and scale</li>\n</ul>\n<ul>\n<li>Model responsible AI use , supporting ICs in their AI journeys and fostering a culture of intentional experimentation, accountability, and continuous improvement</li>\n</ul>\n<p>Enterprise Risk Management</p>\n<ul>\n<li>Design, implement, and continuously improve Gusto&#39;s ERM framework, ensuring alignment with best practices and Gusto&#39;s stage of growth and strategic priorities across all entities</li>\n</ul>\n<ul>\n<li>Define and maintain Gusto&#39;s enterprise risk taxonomy, risk appetite statement, and key risk indicators spanning operational, regulatory, technology, financial, and reputational risk domains</li>\n</ul>\n<ul>\n<li>Lead Gusto&#39;s Enterprise Risk Management process , driving integration of risk practices across business functions, promoting a proactive risk culture, and ensuring incident management, root cause analysis, and lessons learned are systematically captured in an automated, AI forward way.</li>\n</ul>\n<ul>\n<li>Apply AI-assisted insights to enterprise risk datasets to surface systemic patterns, validate assumptions, prioritize risks, and deliver proactive, data-driven advisory to senior leadership</li>\n</ul>\n<ul>\n<li>Monitor the regulatory landscape (OCC, FDIC, CFPB, SEC, FINRA, GDPR, NIST, ISO, SOC) and leverage AI to proactively incorporate changes before they become compliance gaps</li>\n</ul>\n<ul>\n<li>Act as a key advisor to senior compliance leadership , translating complex risk findings into clear, actionable recommendations with minimal oversight</li>\n</ul>\n<p>Third Party Risk Management (TPRM)</p>\n<ul>\n<li>Design, implement, and independently manage a high-impact, AI-first TPRM program with clear milestones, progress tracking, and measurable outcomes across all Gusto entities</li>\n</ul>\n<ul>\n<li>Manage the full third-party risk lifecycle , onboarding and risk profiling, periodic assessments, issue management, corrective action tracking, and offboarding , across suppliers, product partners, contractors, service providers, and cloud service providers , and do so in an AI and automated way.</li>\n</ul>\n<ul>\n<li>Maintain a centralized, authoritative vendor risk inventory and risk register, ensuring real-time visibility into Gusto&#39;s third-party risk posture</li>\n</ul>\n<ul>\n<li>Conduct periodic AI-driven audits and reviews of third-party compliance with contractual obligations and regulatory standards, identifying patterns that inform continuous program improvement</li>\n</ul>\n<ul>\n<li>Serve as the central orchestrator across Compliance, Security, Legal, Procurement, IT, and GRC for proactive and reactive third-party incident management</li>\n</ul>\n<ul>\n<li>Own Gusto&#39;s TPRM policy and maintain comprehensive documentation , risk assessments, audit findings, corrective actions , ensuring full accountability and traceability</li>\n</ul>\n<p>People Leadership &amp; Team Development</p>\n<ul>\n<li>Balance individual compliance contribution with team leadership , managing operations, professional development, resource allocation, and performance while staying close to the work</li>\n</ul>\n<ul>\n<li>Coach and develop ICs toward next</li>\n</ul>\n<p style=\"margin-top:24px;font-size:13px;color:#666;\">XML job scraping automation by <a href=\"https://yubhub.co\">YubHub</a></p>","url":"https://yubhub.co/jobs/job_9d8d91da-52f","directApply":true,"hiringOrganization":{"@type":"Organization","name":"Gusto","sameAs":"https://www.gusto.com/","logo":"https://logos.yubhub.co/gusto.com.png"},"x-apply-url":"https://job-boards.greenhouse.io/gusto/jobs/7746997","x-work-arrangement":"hybrid","x-experience-level":"senior","x-job-type":"full-time","x-salary-range":null,"x-skills-required":["Risk Management","Compliance","AI","Machine Learning","Process Automation","Advanced Analytics","Risk Monitoring","Control Testing","Incident Management","Reporting","Vendor Assessments","Document Ingestion","Analysis","Continuous Monitoring","Alerting","Risk Scoring","Prioritization","Trend Analysis","RCSAs","KRIs","Incident Reporting","Audit Tracking","AI-Driven Workflows","Decisioning Engines","Dashboards","Explainability","Auditability","Regulatory Defensibility","Intelligent Dashboards","Reporting Tools","Real-Time Risk Visibility","Decision-Quality Insights","Senior Leadership","Cross-Functional Stakeholders","Validation Loops","Human-in-the-Loop Checkpoints","Guardrails","Reliable Outputs","Governable Outputs","Regulatory Standards","AI Advancements","Emerging Technologies","Velocity","Scale","Responsible AI Use","ICs","AI Journeys","Accountability","Continuous Improvement","ERM Framework","Best Practices","Gusto's Stage of Growth","Strategic Priorities","Enterprise Risk Taxonomy","Risk Appetite Statement","Key Risk Indicators","Operational Risk","Regulatory Risk","Technology Risk","Financial Risk","Reputational Risk","Root Cause Analysis","Lessons Learned","Automated AI Forward Way","AI-Assisted Insights","Systemic Patterns","Assumptions","Proactive Advisory","Regulatory Landscape","OCC","FDIC","CFPB","SEC","FINRA","GDPR","NIST","ISO","SOC","Proactive Incorporation","Compliance Gaps","Key Advisor","Senior Compliance Leadership","Complex Risk Findings","Clear Actionable Recommendations","Minimally Supervised","High-Impact AI-First TPRM Program","Clear Milestones","Progress Tracking","Measurable Outcomes","Third-Party Risk Lifecycle","Onboarding","Risk Profiling","Periodic Assessments","Issue Management","Corrective Action Tracking","Offboarding","Suppliers","Product Partners","Contractors","Service Providers","Cloud Service Providers","AI and Automated Way","Centralized Vendor Risk Inventory","Risk Register","Real-Time Visibility","Third-Party Risk Posture","Periodic Audits","Reviews","Contractual Obligations","Patterns","Continuous Program Improvement","Central Orchestrator","Security","Legal","Procurement","IT","GRC","Proactive Incident Management","Reactive Incident Management","TPRM Policy","Comprehensive Documentation","Risk Assessments","Audit Findings","Corrective Actions","Traceability","Balance Individual Contribution","Team Leadership","Operations","Professional Development","Resource Allocation","Performance","Close to the Work","Coach and Develop ICs","Next Level"],"x-skills-preferred":[],"datePosted":"2026-04-18T15:56:16.772Z","jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Denver, CO;San Francisco, CA;New York, NY"}},"employmentType":"FULL_TIME","occupationalCategory":"Legal","industry":"Finance","skills":"Risk Management, Compliance, AI, Machine Learning, Process Automation, Advanced Analytics, Risk Monitoring, Control Testing, Incident Management, Reporting, Vendor Assessments, Document Ingestion, Analysis, Continuous Monitoring, Alerting, Risk Scoring, Prioritization, Trend Analysis, RCSAs, KRIs, Incident Reporting, Audit Tracking, AI-Driven Workflows, Decisioning Engines, Dashboards, Explainability, Auditability, Regulatory Defensibility, Intelligent Dashboards, Reporting Tools, Real-Time Risk Visibility, Decision-Quality Insights, Senior Leadership, Cross-Functional Stakeholders, Validation Loops, Human-in-the-Loop Checkpoints, Guardrails, Reliable Outputs, Governable Outputs, Regulatory Standards, AI Advancements, Emerging Technologies, Velocity, Scale, Responsible AI Use, ICs, AI Journeys, Accountability, Continuous Improvement, ERM Framework, Best Practices, Gusto's Stage of Growth, Strategic Priorities, Enterprise Risk Taxonomy, Risk Appetite Statement, Key Risk Indicators, Operational Risk, Regulatory Risk, Technology Risk, Financial Risk, Reputational Risk, Root Cause Analysis, Lessons Learned, Automated AI Forward Way, AI-Assisted Insights, Systemic Patterns, Assumptions, Proactive Advisory, Regulatory Landscape, OCC, FDIC, CFPB, SEC, FINRA, GDPR, NIST, ISO, SOC, Proactive Incorporation, Compliance Gaps, Key Advisor, Senior Compliance Leadership, Complex Risk Findings, Clear Actionable Recommendations, Minimally Supervised, High-Impact AI-First TPRM Program, Clear Milestones, Progress Tracking, Measurable Outcomes, Third-Party Risk Lifecycle, Onboarding, Risk Profiling, Periodic Assessments, Issue Management, Corrective Action Tracking, Offboarding, Suppliers, Product Partners, Contractors, Service Providers, Cloud Service Providers, AI and Automated Way, Centralized Vendor Risk Inventory, Risk Register, Real-Time Visibility, Third-Party Risk Posture, Periodic Audits, Reviews, Contractual Obligations, Patterns, Continuous Program Improvement, Central Orchestrator, Security, Legal, Procurement, IT, GRC, Proactive Incident Management, Reactive Incident Management, TPRM Policy, Comprehensive Documentation, Risk Assessments, Audit Findings, Corrective Actions, Traceability, Balance Individual Contribution, Team Leadership, Operations, Professional Development, Resource Allocation, Performance, Close to the Work, Coach and Develop ICs, Next Level"},{"@context":"https://schema.org","@type":"JobPosting","identifier":{"@type":"PropertyValue","name":"YubHub","value":"job_cefb0a7b-903"},"title":"Head of Investment Products","description":"<p>In 1924, Benjamin Graham began teaching a night class at Columbia Business School. His students were Wall Street professionals who came to learn a radical idea: that investing could be rigorous, disciplined, and principled, not merely speculative. Graham insisted that the best investors weren&#39;t the ones with the sharpest instincts, but the ones who built the most trustworthy systems. He spent the rest of his career proving it.</p>\n<p>A century later, most investment platforms still feel like they were designed for the speculative crowd. Mercury is building something different. We believe startups and growing businesses deserve investment infrastructure that is principled, transparent, and embedded in the tools they already use to run their finances.</p>\n<p>Our Treasury product already helps thousands of companies put their idle cash to work, and Mercury Invest brings investing to our personal banking customers. We operate a registered investment adviser and are standing up an introducing broker-dealer to support these offerings.</p>\n<p>We&#39;re looking for a Head of Investments to lead this effort across both our business and personal investing products. This role will also serve in formal regulated capacities, including President of Mercury Advisory (our registered investment adviser) and CEO of our introducing broker-dealer.</p>\n<p>This is a rare role: part investment leader, part product leader, and part regulatory executive. You&#39;ll sit in the Product org, working at the intersection of investments, product development, brokerage operations, and compliance, ensuring that as we scale our investment platform, we do so with the rigor and care our customers trust us for.</p>\n<p>In This Role, You&#39;ll...</p>\n<ul>\n<li>Set the overall direction for our investment products across business and personal offerings (Treasury and Invest), including how we design, position, and evolve them over time, shaping how tens of billions of dollars are managed on behalf of our customers.</li>\n<li>Serve as President of Mercury Advisory (our RIA), acting as the firm&#39;s accountable leader for investment strategy, client outcomes, and regulatory integrity. You&#39;ll be a named executive officer and primary point of contact for regulators, responsible for the quality and consistency of the investment products and services we deliver.</li>\n<li>Serve as the CEO of our introducing broker-dealer, establishing strong governance, overseeing brokerage operations, and ensuring alignment across product, operations, compliance, and external partners.</li>\n<li>Act as the senior decision-maker on regulatory and business risk matters for our investment entities, synthesizing input from Legal, Compliance, Product, and represent those decisions to regulators when needed. You won&#39;t delegate compliance awareness, you&#39;ll live it.</li>\n<li>Foster relationships with key partners - custodians, fund managers, and critical vendors</li>\n<li>Build a culture that values analytical rigor, regulatory integrity, and the kind of product-minded thinking that makes Mercury distinctive.</li>\n</ul>\n<p>You Might Be a Great Fit If You...</p>\n<ul>\n<li>Have 12+ years of experience in investment management, asset management, or wealth management, with meaningful time spent in a leadership role at an RIA, ideally one affiliated with a broker-dealer.</li>\n<li>Are eligible to serve (or have served) as a president of a registered investment adviser and a principal of a broker-dealer, and hold (or are able to obtain) a Series 24 license. You understand the regulatory landscape at a practitioner level, not just theoretically.</li>\n<li>Have experience owning trading operations and overseeing best-execution responsibilities within an affiliated RIA and broker-dealer, including how orders are submitted and managed to optimize execution quality at scale.</li>\n<li>Bring a strong product mindset, with experience building or scaling investment products and platforms in a high-growth environment.</li>\n<li>Have direct experience navigating SEC and FINRA regulatory requirements and working with examiners, and have helped build or operate investment platforms that meet regulatory standards.</li>\n<li>Are a first-principles thinker who can design investment products to meet the distinct needs of both corporate treasury customers and individual retail investors, balancing simplicity, performance, and operational scalability.</li>\n<li>Are a strong communicator who can make complex investment and regulatory concepts accessible to product teams, executives, and customers alike.</li>\n<li>Have a high bar for operational excellence and detail. You understand how breakdowns in trading, reconciliation, or reporting can impact the integrity of the entire system.</li>\n</ul>\n<p>Organizational Context</p>\n<ul>\n<li>This role sits within the Product organization, reporting to the Head of Banking.</li>\n<li>You&#39;ll work closely with Investments Operations, Investments Compliance, and the broader Risk and Legal teams.</li>\n<li>As President of Mercury Advisory and CEO of our broker-dealer, you&#39;ll carry fiduciary and regulatory responsibilities that extend beyond typical product leadership.</li>\n</ul>\n<p>The total rewards package at Mercury includes base salary, equity, and benefits.</p>\n<p>Our salary and equity ranges are highly competitive within the SaaS and fintech industry and are updated regularly using the most reliable compensation survey data for our industry. New hire offers are made based on a candidate&#39;s experience, expertise, geographic location, and internal pay equity relative to peers.</p>\n<p>Our target new hire base salary ranges for this role are the following:</p>\n<ul>\n<li>US employees (any location): $289,700 - $362,100</li>\n</ul>\n<p style=\"margin-top:24px;font-size:13px;color:#666;\">XML job scraping automation by <a href=\"https://yubhub.co\">YubHub</a></p>","url":"https://yubhub.co/jobs/job_cefb0a7b-903","directApply":true,"hiringOrganization":{"@type":"Organization","name":"Mercury","sameAs":"https://www.mercury.com/","logo":"https://logos.yubhub.co/mercury.com.png"},"x-apply-url":"https://job-boards.greenhouse.io/mercury/jobs/5850040004","x-work-arrangement":"remote|hybrid","x-experience-level":"senior|executive","x-job-type":"full-time","x-salary-range":null,"x-skills-required":["investment management","asset management","wealth management","registered investment adviser","broker-dealer","Series 24 license","trading operations","best-execution responsibilities","SEC and FINRA regulatory requirements","operational excellence","detail-oriented"],"x-skills-preferred":[],"datePosted":"2026-04-17T12:45:55.152Z","jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"San Francisco, CA, New York, NY, Portland, OR, or Remote within United States"}},"jobLocationType":"TELECOMMUTE","employmentType":"FULL_TIME","occupationalCategory":"Finance","industry":"Fintech","skills":"investment management, asset management, wealth management, registered investment adviser, broker-dealer, Series 24 license, trading operations, best-execution responsibilities, SEC and FINRA regulatory requirements, operational excellence, detail-oriented"},{"@context":"https://schema.org","@type":"JobPosting","identifier":{"@type":"PropertyValue","name":"YubHub","value":"job_0b36ec68-ba9"},"title":"Senior Counsel - Product & Regulatory (Investment Products)","description":"<p><strong>Job Title</strong></p>\n<p>Senior Counsel - Product &amp; Regulatory (Investment Products)</p>\n<p><strong>About the Role</strong></p>\n<p>There&#39;s a version of investment products legal work that&#39;s mostly about maintaining what already exists. Reviewing disclosures that haven&#39;t changed in years, advising on products whose architecture was set long before you arrived. This isn&#39;t that. Mercury Treasury and Mercury Invest are in some ways still taking shape and must continually rise to the occasion to meet evolving customer needs.</p>\n<p>As a Senior Counsel on our Product &amp; Regulatory Legal team, you will serve as the primary legal advisor for Mercury Treasury and Mercury Invest, the products through which Mercury&#39;s business and consumer customers access non-deposit investment products. You&#39;ll advise across the full product life cycle, including everything from supporting new feature development, drafting disclosures, calibrating on content for marketing and customer communications, and advising on operational matters with regulatory impacts.</p>\n<p><strong>What You&#39;ll Do</strong></p>\n<ul>\n<li>Own the investment products portfolio and serve as the primary legal advisor for Mercury Treasury and Mercury Invest</li>\n<li>Work across the company, building relationships with product, compliance, risk, engineering, and operations teams</li>\n<li>Advise and support compliance on regulatory matters affecting investment products</li>\n<li>Flex and grow, contributing to other product areas and gaining new experiences and broadening your expertise over time</li>\n<li>Use AI intentionally, bringing a working knowledge of AI tools in legal workflows and a genuine interest in finding new ways to drive efficiency</li>\n<li>Be a storyteller, translating dense regulatory concepts into straightforward, energizing narratives for product teams and other stakeholders</li>\n<li>Stay curious and agile, embracing each new regulation, market shift, or product pivot as a learning opportunity</li>\n</ul>\n<p><strong>What You Should Have</strong></p>\n<ul>\n<li>6+ years of legal experience, with at least 2 of those years focused on non-deposit investment products</li>\n<li>Familiarity with the Investment Advisers Act, Securities Act, Investment Company Act, Regulation Best Interest, Form CRS/ADV, FINRA rules, and related regulatory frameworks</li>\n<li>Some in-house experience is preferred but not required</li>\n<li>Exceptional communication skills</li>\n<li>A proactive sense of ownership</li>\n<li>Strong working knowledge of AI use cases within legal roles and/or financial services generally and genuine interest in using AI to drive efficiency in your work</li>\n</ul>\n<p><strong>What Will Make You Successful Here</strong></p>\n<ul>\n<li>You&#39;ll be expected to have a point of view, not just about what the regulation requires, but about how the product can meet that bar in a way that&#39;s elegant, scalable, and good for customers</li>\n<li>You&#39;ll spend a meaningful amount of your time on work that doesn&#39;t look like traditional legal practice, such as scoping cross-functional projects, pressure-testing product designs, and building operational processes alongside compliance and ops partners</li>\n</ul>\n<p><strong>Total Rewards Package</strong></p>\n<ul>\n<li>The total rewards package at Mercury includes base salary, equity (stock options), and benefits</li>\n<li>Our salary and equity ranges are highly competitive within the SaaS and fintech industry and are updated regularly using the most reliable compensation survey data for our industry</li>\n<li>New hire offers are made based on a candidate&#39;s experience, expertise, geographic location, and internal pay equity relative to peers</li>\n<li>Our target new hire base salary ranges for this role are as follows:</li>\n</ul>\n<ul>\n<li>US employees in New York City, Los Angeles, Seattle, or the San Francisco Bay Area: $219,000 - $273,800</li>\n<li>US employees outside of the New York City, Los Angeles, Seattle, or the San Francisco Bay Area: $197,100 - $246,400</li>\n<li>Canadian employees (any location): $207,000 - $258,700 CAD</li>\n</ul>\n<p style=\"margin-top:24px;font-size:13px;color:#666;\">XML job scraping automation by <a href=\"https://yubhub.co\">YubHub</a></p>","url":"https://yubhub.co/jobs/job_0b36ec68-ba9","directApply":true,"hiringOrganization":{"@type":"Organization","name":"Mercury","sameAs":"https://www.mercury.com/","logo":"https://logos.yubhub.co/mercury.com.png"},"x-apply-url":"https://job-boards.greenhouse.io/mercury/jobs/5842265004","x-work-arrangement":"remote","x-experience-level":"senior","x-job-type":"full-time","x-salary-range":null,"x-skills-required":["non-deposit investment products","Investment Advisers Act","Securities Act","Investment Company Act","Regulation Best Interest","Form CRS/ADV","FINRA rules"],"x-skills-preferred":["AI use cases within legal roles","financial services"],"datePosted":"2026-04-17T12:44:45.279Z","jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"San Francisco, CA, New York, NY, Portland, OR, or Remote within Canada or United States"}},"jobLocationType":"TELECOMMUTE","employmentType":"FULL_TIME","occupationalCategory":"Legal","industry":"Finance","skills":"non-deposit investment products, Investment Advisers Act, Securities Act, Investment Company Act, Regulation Best Interest, Form CRS/ADV, FINRA rules, AI use cases within legal roles, financial services"}]}