The PWM Controller is responsible for supporting quality assured financial reporting of the business activities within the PWM line of business, regardless of legal entity. The PWM Controller’s responsibilities include oversight of the accounting activities related to the PWM line of business and identifying, implementing, and maintaining departmental processes and standards related to general accounting, financial reporting, and the general ledger system.
The PWM Controller serves as the FINRA Series 27 FINOP for the STIS Broker/Dealer company. The PWM Controller is responsible for the annual audit of the STIS Broker/Dealer and Cayman Trust companies, and is also responsible for the monthly/quarterly filings of FOCUS, Form SIS, Form SSOI, Form OBS, and Form Custody for the Broker/Dealer.
The PWM Controller supports the Consumer Controller as liaison with the Corporate Accounting Consultation team as subject matter expert, assisting in maintaining up to date policies, and requesting clarification of existing policies as required.
To ensure the structure of internal controls appropriately mitigates the risk of material misstatement of the financial statements, the PWM Controller partners with Consumer Financial Risk Management (CFRM) to evaluate the effectiveness of the design of the internal control framework specifically related to accounting and financial reporting requirements within the PWM line of business.