Employee Compliance Associate

DTCC • Tampa, FL

12d • 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. Compliance is seeking an Employee Compliance Associate to support the global Employee Compliance function at DTCC. The candidate will primarily be responsible for monitoring and researching personal investment activities, reviewing gifts & entertainment and conflicts of interest/outside business activity disclosures and supporting overall the Employee Compliance function.

Requirements

• Minimum of 4 years of related experience
• Strong analytical skills and attention to details
• Ability to multi-task and to adhere to established deadlines while working in a fast-paced environment required
• Strong proficiency with PC based applications including Excel, SharePoint, Word, and PowerPoint

Nice To Haves

• Bachelor's degree preferred or equivalent experience
• Ideal candidates will have demonstrated experience in the financial services industry

Responsibilities

• Assisting in the monitoring and review of employee and contingent worker personal securities and digital assets trading activity. This includes reviewing and assisting staff with disclosure of trading and digital assets accounts, engaging with brokerage firms to conduct account research and add accounts to electronic feeds, reviewing trading alerts, assisting in potential policy violation case reviews, reviewing trade pre-clearance requests and other activities associated with policy compliance. Will respond to employee and contingent worker inquires, as needed/directed.
• Assisting in the review of employee and contingent worker gifts, entertainment and conflict of interest reporting, and responding to employee and contingent worker inquiries as needed/directed.
• Preparing weekly and monthly reports and metrics.
• Assisting in management of team mailbox and hotline, including responding to staff inquiries.
• Supporting the Employee Compliance Director and Associate Director as needed.
• Participating in meetings with employees, including senior management, under supervision.
• Performing other projects or assignments as needed.
• Aligns risk and control processes into day to day responsibilities to monitor and mitigate risk; escalates appropriately

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: Mid Level
• Education Level: Associate degree