Job DescriptionThe Impact you will have in this role:Being an Associate on the Compliance Testing team, you'll be responsible for completing Compliance testing projects. The Compliance Testing Associate participates in the test planning, the execution of fieldwork, and test reporting. The primary measure of success is identifying impactful issues in the design and effectiveness of controls, while creating reliable documentation to support the work performed.
Your Primary Responsibilities: - Participates in identifying and evaluation compliance risk present at DTCC by performing testing to assess the effectiveness of the compliance control environment
- Identify control deficiencies and work with the business to identify sustainable corrective actions
- Identify enhancement opportunities to processes with the areas tested
- Document work clearly and concisely and prepare well-written Compliance test reports
- Perform other special projects or assignments, as assigned
- Understanding compliance risk and exhibiting behaviors and competencies that demonstrate a risk management attitude
- Supports alignment of the testing function with the overall compliance strategy
- Takes an active role in one's own career development
**NOTE: The Primary Responsibilities of this role are not limited to the details above. **
Qualifications: - Minimum of 2 years of related experience
- Bachelor's degree preferred or equivalent experience
Talents Needed for Success: - Ability to identify and assess risk and recommend controls to mitigate risk, with guidance
- Ability to complete control testing, with guidance
- Some knowledge of compliance principles and standards, including industry best practices and compliance controls
- Ability to effectively interface and communicate with various levels of management
- Ability to work collaboratively in a dynamic, global team environment
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.
About the TeamThe General Counsel's Office is a valued, trusted and responsive partner within DTCC. The team promotes and protects the best interests of the DTCC family of companies by creating and facilitating solutions and providing guidance on legal and regulatory matters.
The Compliance Department is dedicated to protecting DTCC against risks of non-compliance with applicable laws and regulatory matters affecting DTCC and its subsidiaries, including evaluating and responding to new and changing federal, state, local and administrative regulations.
