Compliance Associate

3 weeks ago

Jersey City, United States DTCC Digital Assets Full time

Are you ready to make an impact at DTCC?

Do you want to work on innovative projects, collaborate with a dynamic and supportive team, and receive investment in your professional development? At DTCC, we are at the forefront of innovation in the financial markets. We're committed to helping our employees grow and succeed. We believe that you have the skills and drive to make a real impact. We foster a thriving internal community and are committed to creating a workplace that looks like the world that we serve.

Pay and Benefits:

* Competitive compensation, including base pay and annual incentive
* Comprehensive health and life insurance and well-being benefits, based on location
* Pension / Retirement benefits
* Paid Time Off and Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being.
* DTCC offers a flexible/hybrid model of 3 days onsite and 2 days remote (onsite Tuesdays, Wednesdays and a third day unique to each team or employee).

The Impact you will have in this role:

Being a member of Compliance team, the Compliance Associate supports efforts to foster DTCC's compliance with applicable laws and regulations, particularly through the monitoring and review of employees' trading in personal securities accounts and electronic communications for misuse of material non-public information, covering all business units and functional areas across DTCC and its subsidiaries.

Your Primary Responsibilities:

* Review and process disclosed personal securities investment accounts
* Support the monitoring and review of employee and contingent worker personal securities trading activity, as needed.
* Assist in the monitoring and review of employee and contingent worker electronic communications for violations of the DTCC Code of Conduct.
* Assist in management of team mailbox and hotline, including responding to staff inquiries
* Support the Employee Compliance Director and Associate Director as needed.
* Participate in meetings with employees, including senior management, under supervision.
* Perform other projects or assignments as needed.

NOTE: The Primary Responsibilities of this role are not limited to the details above.

Qualifications:

* Bachelor's degree preferred or equivalent experience
* Minimum of 2 years or more years of financial services industry, preferably in documentation roles, or related experience in compliance, legal or regulatory functions.

Talents Needed for Success:

* Fast-learner and attention to detail
* Experience at a broker-dealer or investment advisor firm within compliance or operations
* Strong analytical skills and attention to details
* Ability to multi-task and to enforce to established deadlines while working in a fast-paced environment required
* Strong proficiency with PC based applications including Excel, SharePoint, Word, and PowerPoint

The salary range is indicative for roles at the same level within DTCC across all US locations. Actual salary is determined based on the role, location, individual experience, skills, and other considerations. We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

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