Who we are looking for
Wealth Custody and Clearing is seeking an experienced Assistant Vice President, Trading & Asset Servicing Operations Specialist to support the execution of brokerage trade operations and asset servicing functions across our introducing broker-dealer platform. This role operates within the Operations team and is responsible for ensuring trading, corporate actions, and related activities are executed accurately, efficiently, and in accordance with regulatory and internal control standards.
This role is ideal for a hands-on operator with strong experience in trading operations and event-driven processing, including corporate actions and trade lifecycle support. The Assistant Vice President serves as a key point of execution and control, ensuring time-sensitive activities are handled with urgency, precision, and clear communication.
We are seeking an individual who thrives in a dynamic, growth-oriented environment, with the ability to operate across multiple operational domains. This role offers broad exposure across trading, asset servicing, and operational support functions, with the opportunity to evolve into a leadership role aligned to those domains as the organization scales.
This individual will also play a key role in supporting an advisor-facing operating model, partnering closely with Client Service while contributing to the adoption of automation, AI-enabled workflows, and integrated platform capabilities.
Why this role is important to us
As Wealth Custody and Clearing scales, the accuracy and timeliness of trading and asset servicing operations are foundational to client trust, regulatory compliance, and overall platform performance. This role ensures that time-sensitive and event-driven processes are executed with consistency and control, directly supporting advisor confidence and client outcomes.
This role is critical to ensuring:
In close partnership with Client Service and related operational teams, this role helps enable a model where high-volume activity is streamlined through automation, while complex, time-sensitive, or advisor-facing scenarios are handled with expertise and control.
What you will be responsible for
Support end-to-end trade lifecycle execution, including trade support, allocations, booking, and exception management, ensuring accuracy and timeliness
Provide advisor-facing trading support, including handling inbound inquiries, trade issues, and time-sensitive requests with clear communication and rapid resolution
Execute and support asset servicing and corporate actions processing, including voluntary and mandatory events, elections, and entitlements
Assist in managing event-driven workflows, ensuring corporate actions, market events, and deadlines are tracked and executed accurately
Support multi-asset class operations, including equities, mutual funds, fixed income, alternatives, and derivatives (including listed options)
Identify and escalate trade breaks, operational discrepancies, and servicing issues, ensuring timely resolution and control
Assist in managing vendor and clearing firm interactions, ensuring alignment on trade processing, servicing, and issue resolution
Support regulatory and reporting activities, including daily execution and monitoring of CAT reporting and exception management/reconciliation, Rule 606 reporting requirements, and operational data integrity
Leverage Salesforce, middle-layer platforms, and AI-enabled workflows to improve efficiency, transparency, and turnaround times
What we value
Solid understanding of trade lifecycle processes, including order support, allocations, settlement, and exception handling
Familiarity with multi-asset class operations, including equities, fixed income, mutual funds, alternatives, and derivatives
Education & Preferred Qualifications
5+ years of experience in broker-dealer, custody, or financial services operations, with a focus on trading and/or asset servicing
Salary Range:
$70,000 - $130,000 Annual
The range quoted above applies to the role in the location specified. If the candidate would ultimately work outside of the location above, the applicable range could differ.
Employees are eligible to participate in State Street’s comprehensive benefits program, which includes: our 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); and, eligibility for certain tax advantaged savings plans.
For a full overview, visit https://hrportal.ehr.com/statestreet/Home.
About State Street
Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.
We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future.
As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.
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