Job DescriptionThe Impact you will have in this role:Support efforts of the Compliance Department to assess DTCC's adherence to regulatory and compliance requirements as they relate to all lines of business and across all functional areas of the various subsidiary companies. .
Your Primary Responsibilities:- Assess the effectiveness of controls for complying with U.S. and non-U.S. regulations applicable to DTCC
- Develops and executes test plans to assess the effectiveness of the control environment established by DTCC to comply with applicable laws and regulations
- Assists the business with identifying sustainable corrective actions
- Documents work performed clearly and concisely and prepares well-written reports
- Document and track the escalation and resolution of compliance issues
- Interfaces and builds relationships with the businesses as well as other control functions to understand tactical and big picture issues in the organization
- Identifies and evaluates compliance risks associated with DTCC's products, services, customers, and operations
- Maintains awareness of regulatory requirements and ongoing changes in applicability to DTCC's businesses
Qualifications:- Minimum of 6 years of related experience
- Bachelor's degree preferred or equivalent experience
Talents Needed for Success:- Experience with audit or examination processes
- General knowledge of compliance principles and standards, including industry best practices and compliance controls
- Basic knowledge of and ability to interpret financial services industry regulatory requirements
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.
