Business Aligned Compliance Associate Director

DTCC • Tampa, FL

7d • $95,000 - $180,000 • Hybrid

About The Position

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. This role supports DTCC's Data Repository (DDR) Chief Compliance Officer in all aspects of the derivatives compliance programs for DDR, DTCC’s North American trade repository. This includes coordinating with various functional groups within Compliance, Legal, Internal Audit (Audit) and, other risk and control functions and DDR business areas to ensure that DDR complies with current regulations and the evolving regulatory environment. The individual reports directly to DDR’s Chief Compliance Officer.

Requirements

• Minimum of 8 years of related experience
• Bachelor's degree preferred or equivalent experience
• 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 interface with all levels of leadership
• Ability to work in a team dynamic with team members in different locations
• Knowledge of basic compliance principles and standards, including industry best practices and compliance controls

Nice To Haves

• Experience working at or with financial services regulators (e.g. SEC, FRB, NYSDFS, CFTC, ESMA, etc.) is highly desirable

Responsibilities

• Support DDR’s derivatives compliance program in compliance with applicable CFTC, SEC and Canadian regulations and guidance as well as relevant international requirements for trade repositories.
• Monitor regulatory reporting obligations in the jurisdictions in which DDR operates and perform regulatory change assessments to determine compliance impact.
• Lead or assist in the preparation, review and submission of DDR Compliance department regulatory filings (including financial filings, operational report filings, and annual and periodic filings of registration materials). Provide back-up coverage and quality assurance for filings prepared by team members.
• Coordinate the development of compliance-related controls, including policies and procedures, training, monitoring and oversight, testing and reporting, with other groups within DTCC Compliance, as well as Audit, Legal, Operational Risk and Resiliency (ORR), Enterprise Risk Management, Application Development and other control functions and business areas.
• Assist the DDR Chief Compliance Officer in preparation of DDR's Annual Compliance Reports, including coordinating the collection of required information, and obtaining attestations from various control functions.
• Assist in the preparation of Board and Audit Committee materials.
• Assess DTCC and DDR Compliance policies and procedures for compliance with DDR regulatory requirements.
• Assist in preparing responses to regulatory findings and coordinate with Audit and business unit staff on related action plans.
• Identify and develop appropriate automation and AI-enabled solutions to improve compliance processes while maintaining required review, governance and recordkeeping.
• Mitigates risk by following established procedures and monitoring controls, spotting key errors and demonstrating strong ethical behavior.

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.

What This Job Offers

• Job Type: Full-time
• Career Level: Director