business Compliance associate directorDTCC

Job Description:
Are you ready to explore a world of possibilities?
Join our DTCC family, and you'll grow your expertise and become the best version of you. As you embark on a new journey, you'll be supported and surrounded by other professionals as you learn new skills, advance your career, and see the impact of your efforts every day.
Pay and Benefits:
Competitive compensation, including base pay and annual incentive
Comprehensive health and life insurance and well-being benefits, based on location
Retirement benefits
Paid Time Off and other leave of absence
About this Opportunity
The ITP & SIFMU Aligned Compliance Associate Director supports the ITP & SIFMU Aligned Compliance Team, which is responsible for:
Supporting the aligned business areas' identification, development and monitoring of key controls that enable compliance with regulatory requirements
Facilitating mapping of regulatory requirements to controls and conducts monitoring and testing to evaluate the design of, and adherence to, those controls
Reviewing policies and procedures that demonstrate compliance with regulatory requirements and working with aligned business management to address gaps and inconsistencies
Serving as the primary Compliance interface for exams and monitoring for regulatory trends, guidance and new regulations which impact the aligned business areas and require enhancements to the existing compliance control framework
Preparing reports on the status of the program to Board, Committees and senior management
What You'll Do
Develop and maintain a comprehensive understanding of applicable laws and regulations applicable to the aligned business areas, as well as requirements and resulting controls that enable compliance
Support the facilitation of impact assessments to evaluate new or changing regulations and readiness for compliance
Evaluate new initiatives and business ventures to identify and evaluate compliance requirements and readiness
Work with aligned business areas to develop action plans for development and enhancement of compliance controls and provide ongoing support and monitoring of the implementation of those controls
Support Regulatory Relations, GCO and aligned business areas in regulatory examinations, inspections and inquires
Support the advancement of DTCC's response time to address compliance gaps or weaknesses
Perform risk-based compliance monitoring to identify risk and control trends in related to compliance with regulatory requirements
Support the performance of a periodic baseline compliance risk assessments for aligned business areas
Perform compliance risk assessments and other reviews to evaluate compliance risks and controls
Evaluate policies and procedures to identify and address any compliance gaps or inconsistencies
Conduct compliance testing to evaluate the effectiveness of compliance enabling controls
Conduct lessons learned reviews to identify the impact of examination findings and operational incidents on aligned business controls
Takes an active role in one's own career development
Fosters a risk management culture through implementation and demonstration of processes and procedures which identify and mitigate risk
Mitigates risk by following established procedures and monitoring controls, spotting key errors and demonstrating strong ethical behavior.
Sound Like You?
Minimum of 8 years of related experience
Bachelor's degree preferred or equivalent experience
Additional Qualifications
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
Experience working at or with financial services regulators (e.g. SEC, FRB, NYSDFS, CFTC, ESMA, etc.) is highly desirable Knowledge of basic compliance principles and standards, including industry best practices and compliance controls
Who We Are:
DTCC is the heart of the post-trade market infrastructure for the global financial services industry. From 21 locations all over the world, DTCC, through its subsidiaries, automates, centralizes and standardizes the processing of financial transactions, mitigating risk, increasing transparency and driving efficiency for thousands of broker/dealers, custodian banks and asset managers. In 2020, DTCC's subsidiaries processed securities transactions valued at more than U.S. $2.3 quadrillion.
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.
About Us: About DTCC
DTCC safeguards the financial markets and helps them run efficiently, in times of prosperity and crisis. We are uniquely positioned at the center of global trading activity, processing over 100 million financial transactions every day, pioneering industry-wide, post-trade solutions and maintaining multiple data and operating centers worldwide. From where we stand, we can anticipate the industry's needs and we're working to continually improve the world's most resilient, secure and efficient market infrastructure. Our employees are driven to deliver innovative technologies that improve efficiency, lower cost and bring stability and certainty to the post-trade lifecycle.
DTCC proudly supports Flexible Work Arrangements favoring openness and gives people freedom to do their jobs well, by encouraging diverse opinions and emphasizing teamwork. When you join our team, you'll have an opportunity to make meaningful contributions at a company that is recognized as a thought leader in both the financial services and technology industries. A DTCC career is more than a good way to earn a living. It's the chance to make a difference at a company that's truly one of a kind.
About the Team:
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.
The Compliance Department is dedicated to protecting DTCC against risks of non-compliance with applicable laws and regulatory matters affecting DTCC and its subsidiaries, including evaluating and responding to new and changing federal, state, local and administrative regulations.
DTCC

Manila City, Metro Manila
Permanent
Full-time