Controller, Vice President as FINOP of Broker Dealer

State Street.
Boston, Massachusetts, Stamford, Connecticut
Not disclosed
25 Oct 2021
25 Nov 2021
Contract type
Full time
Experience level

Who we are looking for

We are looking for the FINOP of State Street’s Global Markets Broker Dealer which provides trading and clearing services to State Street clients and State Street affiliates globally and the role can be filled in Boston, MA or Stamford, CT.

Why this role is important to us

The team you will be joining plays an important role in the overall success of the organization. Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. To make that happen we need teams like yours to help navigate employees and the organization as a whole. In your role you will strive for cutting-edge solutions, that are straightforward and scalable. You will help us build resilience and execute day to day deliverables at our best. Join us if making your mark in the financial services industry from day one is a challenge you are up for. 

What you will be responsible for

As Controller you will

  • Ensure activity of broker dealer appropriately captured through optimizing design and execution of processes / controls
  • Maintain broker dealer’s compliance with all regulatory reporting, reserve and capital requirements
  • Manage daily liquidity / funding process of the broker dealer
  • Manage preparation of the broker dealers quarterly financial statements and the annual external audit
  • Supervise daily activities and monthly close process for the broker dealer
  • Engage with Operations, Risk, Corporate Accounting, Compliance and Treasury to optimize the broker dealers governance structure
  • Partner with business in developing / launching new broker dealer products, regional expansions and other strategic initiatives
  • Maintain relationship with FINRA, the broker dealer’s regulator, in regards to Finance / Operations on an ongoing basis and during periodic reviews

What we value

These skills will help you succeed in this role

  • Strong managerial and influencing skills with an ability to lead across a matrix organization
  • Collaborative self-starter with strong organizational and communication skills
  • Ability to operate across a global organization with teams operating in multiple regions

Education & Preferred Qualifications

  • Series 27, Financial and Operations Principal Qualification
  • Direct experience as a Finance / Accounting professional with a clearing broker dealer
  • Strong reporting, governance, operational and policy accounting skill set  
  • Strong project management skills, with the capability to simultaneously manage multiple responsibilities

About State Street

What we do. State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. From technology to product innovation, we’re making our mark on the financial services industry. For more than two centuries, we’ve been helping our clients safeguard and steward the investments of millions of people. We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients.

Work, Live and Grow. We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary by location, but you may expect generous medical care, insurance and savings plans, among other perks. You’ll have access to flexible Work Programs to help you match your needs. And our wealth of development programs and educational support will help you reach your full potential.

Inclusion, Diversity and Social Responsibility. We truly believe our employees’ diverse backgrounds, experiences and perspectives are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality. Another fundamental value at State Street is active engagement with our communities around the world, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift programs and access to employee networks that help you stay connected to what matters to you.

State Street is an equal opportunity and affirmative action employer.

Discover more at

For further information, and to apply, please visit our website via the “Apply” button below.

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