Broker Dealer Controllership
statestreet
finance

Job Description:

The BU Controllership team proactively partners globally with the Businesses, Finance leadership and other Control functions to ensure the optimal design / execution of processes and identification of areas for improvement / best practice implementation for areas impacting financial and regulatory reporting.

Daily 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

Job Requirements:

These skills will help you succeed in this role: Strong accounting foundation 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. Education & Preferred Qualifications 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.

Compensation:

$100,000 - $167,500 Annual The range quoted above applies to the role in the primary location specified. If the candidate would ultimately work outside of the primary location above, the applicable range could differ.

Job Location(s):

Stamford, Connecticut

Source:

Company Career Section

Competition:

N/A

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Finance and Audit