State Street

Broker Dealer Controllership, Assistant Vice President

State Street

full-time

Posted on:

Location Type: Office

Location: Stamford • Connecticut • United States

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Salary

💰 $100,000 - $167,500 per year

Job Level

Lead

About the role

  • 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

Requirements

  • 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
  • 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
  • Health insurance
  • 401(k) matching
  • Paid-time off including vacation, sick leave, short term disability, and family care responsibilities
  • Access to Employee Assistance Program
  • Incentive compensation including eligibility for annual performance-based awards

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
GAAP accountingregulatory reportingfinancial reportingcash projectionssubledgersBroadridge reportsgeneral ledger packages15c3-1 net capital rules15c3-3 customer reserve rules
Soft skills
cross-functional relationshipscommunicationrisk mitigationcollaborationchange management
Certifications
Bachelor’s degree in accountingBachelor’s degree in Business AdministrationBachelor’s degree in FinanceFINRA Series 99FINRA Series 27