Desc
Are you ready to explore a world of possibilities?
Join our DTCC family, and you’ll grow your expertise and become the best version of you. As you embark on a new journey, you’ll seek challenges with flexibility and patience, learning new skills and advancing your career while having the time of your life.
Why You’ll Love This Job:
Being a member of the Compliance team, the Employee Compliance Team Lead will support DTCC's Employee Trade Monitoring (ETM), lobbying disclosures, gifts & entertainment, conflicts of interest/outside business activities, and related disclosures and attestations. In this role, the candidate will also be responsible for managing improvements to these programs including leading projects and implementations of systems changes.
Your Primary Responsibilities:
• Lead a team of Compliance personnel responsible for managing the Employee Compliance program and monitoring for compliance with policies related to insider trading prevention, conflicts of interest/outside business activities, gifts and entertainment activities, and federal lobbying activities
• Leads the employee trade reporting and monitoring functions, including the review, research and resolution of alerts generated by supervising systems and potential cases of policy violations and insider trading
• Runs the gifts and conflicts of interest reporting systems, and investigates cases, where vital
• Leads the Compliance Hotline, which provides employees with direction regarding compliance questions
• Reviews and investigates matters reported to the anonymous DTCC Ethics Hotline
• Maintains confidential employee information in a safe and secure manner
• Supports the development and optimization of the ETM, Gifts and Conflicts reporting systems
• Works with various DTCC business units and participants to identify risks related to material non-public information (MNPI)
• Develops and updates written policies, procedures, job aids and other written materials
• Maintains accurate, real-time files and records of alert and case research and closure to support actions taken to close or raise alerts and cases
• Drafts memos to document changes and additions to processes, systems and procedures
• Analyzes the merits of new monitoring scenarios and performs testing of supporting systems
• Identifies program and system improvement opportunities and works cross functionally to implement
• Interacts with DTCC’s business area management, regulators, internal audit and brokers
• Supervises introduction of new investment products and vehicles for inclusion in ETM program
• Monitors relevant legal and regulatory developments
• Mitigates risk by following established procedures and monitoring controls, spotting key errors and demonstrating strong ethical behavior.
**NOTE: The Primary Responsibilities of this role are not limited to the details above. **
Talents Needed for Success:
• Minimum of 7 years of related experience
• Bachelor's degree preferred with master’s or equivalent experience
• 5 plus years of financial services industry experience in Compliance, Legal, or regulatory functions
• 3 years of experience managing and evaluating employee trading accounts for possible insider trading, securities law and firm policy violations
• Gifts, conflicts of interest and lobbying reporting experience preferred
• Degree in law, criminal justice or business strongly preferred
• Securities and/or or compliance certification strongly preferred
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.
RequisitionType Professional JobSchedule Full time