Organization Description
The 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.
Employer Description
DTCC safeguards the financial markets and helps them run efficiently, in times of prosperity and crisis. We are uniquely positioned at the center of global trading activity, processing over 100 million financial transactions every day, pioneering industry-wide, post-trade solutions and maintaining multiple data and operating centers worldwide. From where we stand, we can anticipate the industry's needs and we're working to continually improve the world's most resilient, secure and efficient market infrastructure. Our employees are driven to deliver innovative technologies that improve efficiency, lower cost and bring stability and certainty to the post-trade lifecycle.
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DTCC proudly supports Flexible Work Arrangements favoring openness and gives people freedom to do their jobs well, by encouraging diverse opinions and emphasizing teamwork. When you join our team, you'll have an opportunity to make meaningful contributions at a company that is recognized as a thought leader in both the financial services and technology industries. A DTCC career is more than a good way to earn a living. It's the chance to make a difference at a company that's truly one of a kind.
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Job Description
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 are 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 member of the Global Compliance team, the Governance and Reporting Compliance Director will be responsible for establishing internal standards for compliance metrics and management reporting and reporting to Management and Board Committees on compliance performance and the organization's adherence to regulatory requirements, internal standards, and its legal and regulatory risk tolerance. The candidate must have strong communication skills with the ability to articulate problems and solutions through concise and clear messaging and have demonstrated the ability to assess complex issues and structure potential solutions to drive resolution with senior partners.
Your Primary Responsibilities
- Manage the collection, review and distribution of materials to Management and Board Committees on Compliance program updates, performance and risk metrics, identified issues, and legal and regulatory risk tolerance
- Lead a program initiative to review and evaluate policies and procedures requiring Board approval under SEC Standards for Covered Clearing Agencies Rule 17 ad-22e(3)(i) and work with stakeholders to apply adjustments and map relationships to supporting procedures
- Periodically evaluate documents that meet the criteria for managing Clearing Agency risks and require alignment to Rule 17 ad-22e(3)(i) requirements
- Develop standards for compliance department metrics and management reporting
- Supervise the quality assurance of management information reported in compliance reports and management dashboards
- Supervise the governance process for designated annual compliance reports and certifications
- Compile and facilitate timely distribution of other management reports to stakeholders as needed
- Support the implementation of new or changed laws, rules and regulations, when needed
- Determine and support alignment of the function with the overall compliance strategy
- Foster an environment of regulatory awareness and maintain awareness of regulatory requirements and ongoing changes in DTCC's business
- Assist with special projects were needed
- Mitigate risk by following established procedures, spotting key errors and demonstrating strong ethical behavior
NOTE: The Primary Responsibilities of this role are not limited to the details above.
Qualifications
- Minimum 10 years of compliance, risk management, audit, and/or regulatory experience within the financial services industry
- Bachelor's degree preferred or equivalent experience
Talents Needed for Success
- Strong understanding of financial services regulatory requirements and risk management frameworks
- Extensive experience coordinating with senior level stakeholders and preparing presentations for an executive audience
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. 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.