State Street · 7 hours ago
Broker Dealer Controllership, Assistant Vice President
Stamford, CT
Full-time
Onsite
Mid, Senior Level
$100K/yr - $168K/yr
5+ years expState Street is one of the largest custodian banks and asset managers in the world, providing investment servicing and management to institutional clients. The Assistant Vice President will support the Broker Dealers BU Controllership team by ensuring the accuracy of financial reporting and internal controls, while actively engaging with global leadership on accounting initiatives and regulatory compliance.
BankingFinanceFinancial Services
Responsibilities
Partner with the Businesses, Securities Operations ,Global Accounting Operations (GAO) and Finance leadership to ensure accuracy of regulatory reporting, legal entity financial results and that internal controls are appropriately designed and executed
Engage with global leadership in key business and change initiatives, focusing on accounting and regulatory related activities and internal controls to mitigate risk; as well as supporting new products and services initiatives
Interact with Operations staff to ensure the accuracy of information provided through subledgers on a daily basis
Partner with margin manager on outstanding calls and margin calls collected. Assist in the daily cash projections needed for settlements. Assist in implementing and ensuring compliance with GAAP accounting and US broker dealer filings
Assist in testing of the Broadridge reports for new business initiatives Maintain strong cross-functional relationships and communication channels across global locations for Security operations teams
Streamline and improve the timing of the month end close and corporate reporting to comply with corporate reporting deadlines. Assist in the implementation of new regulatory reporting software
Daily, weekly, & monthly regulatory reporting
Qualification
Required
Strong accounting background
Understanding of risks / internal controls and ability to proactively perform assessments and remediate issues
Strong analytical and quantitative skills coupled with a strong track record of executing against goals
Ability to effectively communicate with stakeholders at all levels
Strong customer service orientation and the ability to work in a team environment
Familiar with Regulatory issues impacting the Financial Services Industry in broker dealers
Experience in coordinating annual audits and regulatory examinations
Bachelor's degree in accounting, Business Administration or Finance
5+ Accounting experience in the financial services industry, in particular broker dealers
Experience with legal entity financial reporting & accounting
Preferred
Knowledge of self clearing broker dealer operations a plus
Familiarity with enterprise level general ledger packages
Familiarity of 15c3-1 net capital rules & 15c3-3 customer reserve rules
FINRA Series 99 or Series 27 licenses a plus
Benefits
Generous medical care
Insurance coverage including basic life, medical, dental, vision, long-term disability, and other optional additional coverages
Paid-time off including vacation, sick leave, short term disability, and family care responsibilities
Access to our Employee Assistance Program
Incentive compensation including eligibility for annual performance-based awards (excluding certain sales roles subject to sales incentive plans)
Eligibility for certain tax advantaged savings plans
Company
State Street
State Street offers a range of financial services, including investment management, research and trading, as well as asset management.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$12.05B2025-10-23Post Ipo Debt· $1B
2025-04-24Post Ipo Debt· $2B
2025-02-06Post Ipo Equity· $750M
Leadership Team
Ronald O'Hanley
Chairman and Chief Executive Officer
R
Renee LaRoche-Morris
Senior Vice President, Chief of Staff to the COO; Head of CAO Services
Recent News
2026-01-09
2026-01-09
Company data provided by crunchbase