Vice President of Broker Dealer Operations

Responsibilities

• Lead and oversee day-to-day brokerage operations, including Trading Support and Asset Servicing (Corporate Actions).
• Ensure end-to-end trade lifecycle execution (order support, allocations, booking, settlement) is accurate and timely.
• Oversee asset servicing and corporate actions processing, including voluntary and mandatory events.
• Build, lead, and develop high-performing teams, fostering a culture of accountability and continuous improvement.
• Drive the adoption of automation, AI-enabled workflows, and system-driven processing to improve scalability.
• Partner with Technology, Product, and external vendors to align operational workflows with platform capabilities.
• Oversee CAT and Rule 606 reporting, ensuring accuracy and compliance with regulatory requirements.
• Serve as a senior escalation point for complex operational events involving trading activity and market events.

Requirements

• Undergraduate degree.
• 5-7+ years of experience in broker-dealer, custody, or financial services operations, with a focus on trading.
• Series 7 and 24 licenses required.
• Ability to obtain Series 57 license within a specified timeframe.
• Expertise in trading operations and corporate actions.
• Knowledge of CAT and Rule 606 reporting.

Preferred Qualifications

• 2-4+ years of leadership experience.
• Series 4 license.
• Experience supporting RIA and enterprise RIA operating models.
• Experience with multi-asset class environments, including equities, mutual funds, fixed income, alternatives, and derivatives.

Benefits

• Retirement savings plan (401K) with company match.
• Comprehensive insurance coverage including medical, dental, vision, and life insurance.
• Paid time off including vacation, sick leave, and family care responsibilities.
• Access to Employee Assistance Program.
• Eligibility for annual performance-based awards.

About the Company

State Street is a global leader in financial services, helping institutional investors manage risk, respond to challenges, and drive performance. We are committed to fostering an inclusive environment where employees are empowered to reach their full potential.