Employee Compliance Senior Associate

DTCC • Tampa, FL

3d • Hybrid

About The Position

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 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.

Requirements

• Minimum of 6 years of related experience
• Bachelor's degree preferred or equivalent experience
• Strong analytical/investigative skills and knowledge.
• Excellent written and verbal communication skills.
• Meticulous organizational skills, strong attention to detail, and demonstrated ability to follow up and drive deliverables to closure.
• Experience using PC-based applications including Word, PowerPoint and Excel.

Responsibilities

• Perform analysis and lead investigations related to potential employee non-compliance with employee trade monitoring and gifts, entertainment and conflicts of interest policies.
• Review employee compliance system alerts, pre-approval requests, and disclosures and provide written recommended actions to management based on research.
• Oversee team correspondence with employees regarding compliance with applicable regulatory requirements and internal policies.
• Engage with brokerage firms to conduct account research and add accounts to electronic feeds.
• Manage multiple, simultaneous projects to support technology enhancements and business initiatives under limited supervision.
• Update team procedures and job aids to keep them aligned to current processes and controls.
• Engage with various business areas to promote awareness of employee compliance policies and to resolve investigations.
• Perform testing of system enhancements against business requirements and identify issues and areas for improvement.
• Mitigate risk by following established procedures, escalating errors to management timely, and demonstrating strong ethical behavior.
• Maintain awareness of applicable regulatory requirements, industry trends, and best practices through ongoing education and training.
• 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: Senior