Compliance Testing Senior Associate

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.
The General Counsels 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.

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:
Support efforts of the Compliance Department to assess DTCCs 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
Bachelors 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. 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.