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Business Compliance Associate Director
4 months ago
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 part of the Compliance Team, this role supports the ITP (Institutional Trade Processing) & SIFMU (Systemically Important Financial Market Utilities) Aligned Compliance Team, which is responsible for:
supporting the identification, development and monitoring of key controls that enable compliance with regulatory requirements facilitating mapping of regulatory requirements to controls and conducts monitoring and testing to evaluate the design of, and adherence to, those controls reviewing policies and procedures that demonstrate compliance with regulatory requirements and working with aligned business management to address gaps and inconsistencies serving as the primary Compliance interface for exams and monitoring for regulatory trends, guidance and new regulations which impact the aligned business areas and require enhancements to the existing compliance control framework preparing reports on the status of the program to Board, Committees and senior management
Your Primary Responsibilities:
**NOTE: The Primary Responsibilities of this role are not limited to the details above. **
Qualifications:
Talents Needed for Success:
Knowledge of financial services, particularly in the securities markets Knowledge of financial services laws and regulations Excellent listening and communication (oral and written) skills to effectively collaborate with all levels of leadership Ability to work in a team dynamic with team members in different locations Experience working at or with financial services regulators (e.g. SEC, FRB, NYSDFS, CFTC, ESMA, etc.) is highly desirable Knowledge of basic compliance principles and standards, including validated techniques and compliance controlsThe 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.