Compliance Testing Senior Associate

DTCC • Tampa, FL

12h • Hybrid

About The Position

The Compliance Testing Senior Associate supports the Compliance Department in assessing DTCC’s adherence to regulatory and compliance requirements across all lines of business and functional areas of its subsidiary companies. The role evaluates control effectiveness, helps identify corrective actions, documents and tracks compliance issues, and works with business teams and other control functions to understand compliance risks and regulatory obligations.

Requirements

• Minimum of 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 or equivalent experience.

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 compliance 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.
• Build relationships and interface 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 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, personal/family care, and other leaves of absence.
• Flexible/hybrid work model with three days onsite and two days remote.

What This Job Offers

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