Account Operations Principal, Assistant Vice President – Wealth Custody & Clearing

State Street

Assistant Vice President managing account operations in wealth custody and clearing across introducing broker-dealer platform. Ensuring compliance and accuracy in account onboarding and maintenance processes.

Posted 7/17/2026full-timeDallas • Massachusetts, New Jersey, Texas • 🇺🇸 United StatesLead💰 $70,000 - $130,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in broker-dealer operations, focusing on account onboarding, review, and lifecycle management, while ensuring compliance with regulatory requirements and effective communication with advisors. Proficient in managing complex account structures and leveraging workflow tools to enhance operational efficiency.

Highest-signal resume keywords

Broker-Dealer OperationsAccount OnboardingComplex Account StructuresAML/KYC FrameworksSalesforce

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Account Approval WorkflowsLifecycle ManagementBeneficial Ownership RequirementsTax DocumentationException Management

Soft Skills

Effective CommunicationProblem-SolvingSound Judgment

Tools & Technologies

SalesforceAI-Enabled WorkflowsCase Management Systems

Certifications & Qualifications

Series 24 Principal

Industry Keywords

Custody OperationsTrustsEstatesCorporate EntitiesPartnerships

About the role

Key responsibilities & impact

Review and approve new accounts, ensuring all documentation, regulatory, and internal control requirements are satisfied prior to account establishment
Perform supervisory review as a Series 24 principal, including exception approvals and escalation support
Execute and oversee account maintenance activities, including ownership changes, beneficiary updates, registrations, and account attribute modifications
Support and manage complex account structures, including trusts, estates, corporate entities, partnerships, and multi-party accounts
Assist with lifecycle events, including death processing, estate distributions, and ownership transitions
Ensure accurate capture and maintenance of beneficial ownership, control persons, authorized parties, and tax documentation (W 9/W 8)
Partner closely with Client Service and advisors to address inquiries, resolve issues, and clarify documentation requirements
Support inbound advisor requests, delivering timely, accurate, and high-quality servicing for both standard and non-standard scenarios
Identify, assess, and escalate risk, documentation gaps, or inconsistencies in accordance with supervisory expectations
Assist in processing and supporting ACATS and non-ACATS transfers, ensuring proper documentation and control
Coordinate with and initially perform across Cashiering, Transfers, and account operations; as the platform scales, help stand up domain-specific functions with the opportunity to evolve into a dedicated leader within those areas
Contribute to the development and refinement of workflows, procedures, and controls across onboarding and maintenance processes
Leverage Salesforce and AI-enabled workflows to improve efficiency, reduce manual effort, and enhance turnaround times
Maintain strong documentation and audit readiness across all activities

Requirements

What you’ll need

Strong experience in broker-dealer or custody operations, with a focus on account onboarding, review, and lifecycle management
Expertise in complex account structures (trusts, estates, entities) and associated documentation and regulatory requirements
Solid understanding of: o Account approval and maintenance workflows o Beneficial ownership and control of person requirements o AML/KYC and CIP frameworks o Tax documentation and withholding considerations
Experience supporting advisor-facing servicing models, with effective communication and problem-solving skills
Ability to manage exceptions, non-standard scenarios, and time-sensitive requests with sound judgment
Comfort operating in a fast-paced, build environment with evolving processes and structures
Familiarity with introducing broker-dealer models and clearing relationships
Experience leveraging workflow tools and case management systems (Salesforce preferred)

Benefits

Comp & perks

retirement savings plan (401K) with company match
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