Compliance Testing Senior Associate

DTCC • Tampa, FL

4d • Hybrid

About The Position

The Compliance Testing Senior Associate supports the Compliance Department in assessing DTCC’s adherence to regulatory and compliance requirements across its lines of business and functional areas, including those of its subsidiary companies. The role is part of the General Counsel’s Office, which supports DTCC companies on legal and regulatory matters. The position assesses controls, develops and executes test plans, helps identify corrective actions, documents and reports work, tracks compliance issues, builds relationships across the organization, and monitors regulatory changes. DTCC describes its work arrangement as a flexible hybrid model with three days onsite and two days remote.

Requirements

• At least 6 years of related experience.
• 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.

Nice To Haves

• Bachelor’s degree preferred; equivalent experience is also accepted.

Responsibilities

• Assess the effectiveness of controls for complying with U.S. and non-U.S. regulations applicable to DTCC.
• Develop and execute test plans to assess the effectiveness of DTCC’s control environment for complying with applicable laws and regulations.
• Assist the business with identifying sustainable corrective actions.
• Document work performed clearly and concisely and prepare well-written reports.
• Document and track the escalation and resolution of compliance issues.
• Interface and build relationships with business teams and other control functions to understand tactical and broader organizational issues.
• Identify and evaluate compliance risks associated with DTCC’s products, services, customers, and operations.
• Maintain awareness of regulatory requirements and ongoing changes in their applicability to DTCC’s businesses.

Benefits

• Competitive compensation, including base pay and annual incentive.
• Comprehensive health and life insurance and well-being benefits, based on location.
• Pension and retirement benefits.
• Paid time off and personal/family care, and other leaves of absence when needed to support physical, financial, and emotional well-being.

What This Job Offers

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