Description:
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 be supported and surrounded by other professionals as you learn new skills, advance your career, and see the impact of your efforts every day.
Pay and Benefits:
• Competitive compensation, including base pay and annual incentive
• Comprehensive health and life insurance and well-being benefits, based on location
• Retirement benefits
• Paid Time Off and other leave of absence
• Flexible/Hybrid Work Arrangements
Why you'll love this job:
The ITP & SIFMU Aligned Compliance Associate Director supports the ITP & SIFMU Aligned Compliance Team. In conjunction with the team, you will support the aligned business areas' identification, development and monitoring of key controls that enable compliance with regulatory requirements. Help facilitate mapping of regulatory requirements to controls and conducts monitoring and testing to evaluate the design of, and adherence to, those controls. Help review policies and procedures that demonstrate compliance with regulatory requirements and working with aligned business management to address gaps and inconsistencies. Serve as a 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. Assist in preparing reports on the status of the program to Board, Committees and senior management.
Primary Responsibilities:
• Evaluate new initiatives and business ventures to identify and evaluate compliance requirements and readiness
• Work with aligned business areas to develop action plans for development and enhancement of compliance controls and provide ongoing support and monitoring of the implementation of those controls
• Perform risk-based compliance monitoring to identify risk and control trends in related to compliance with regulatory requirements
• Perform compliance risk assessments and other reviews to evaluate compliance risks and controls
• Evaluate policies and procedures to identify and address any compliance gaps or inconsistencies
**NOTE: The Primary Responsibilities of this role are not limited to the details above. **
Talents Needed for Success:
• Minimum of 8 years of related experience
• Bachelor's degree preferred or equivalent experience
Additional Qualifications
• 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 industry best practices and compliance controls
Who We Are:
DTCC is the heart of the post-trade market infrastructure for the global financial services industry. From 21 locations all over the world, DTCC, through its subsidiaries, automates, centralizes and standardizes the processing of financial transactions, mitigating risk, increasing transparency and driving efficiency for thousands of broker/dealers, custodian banks and asset managers. In 2020, DTCC’s subsidiaries processed securities transactions valued at more than U.S. $2.3 quadrillion.
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.
Requisition Type: Professional