Compliance Testing Senior Associate
The Depository Trust & Clearing Corporation (DTCC)
Salary undisclosed
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Description
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.
Pay and 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.
- DTCC offers a flexible/hybrid model of 3 days onsite and 2 days remote (onsite Tuesdays, Wednesdays and a third day unique to each team or employee).
Support efforts of the Compliance Department to assess DTCC's adherence to regulatory and compliance requirements as they relate to all lines of business and across all functional areas of the various subsidiary companies. .
Your Primary Responsibilities:
- Assess the effectiveness of controls for complying with U.S. and non-U.S. regulations applicable to DTCC
- Develops and executes test plans to assess the effectiveness of the control environment established by DTCC to comply with applicable laws and regulations
- Assists the business with identifying sustainable corrective actions
- Documents work performed clearly and concisely and prepares well-written reports
- Document and track the escalation and resolution of compliance issues
- Interfaces and builds relationships with the businesses as well as other control functions to understand tactical and big picture issues in the organization
- Identifies and evaluates compliance risks associated with DTCC’s products, services, customers, and operations
- Maintains awareness of regulatory requirements and ongoing changes in applicability to DTCC’s businesses
Qualifications:
- Minimum of 6 years of related experience
- Bachelor's degree preferred or equivalent experience
Talents Needed for Success:
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
Benefits
- paid time off
- life insurance
- professional development
About this role
DTCC's General Counsel's Office is seeking a Compliance Testing Senior Associate to help assess how well the organization adheres to regulatory requirements across its businesses and subsidiaries. You would develop and execute test plans to evaluate the effectiveness of compliance controls, work with business teams to identify corrective actions, and document findings in clear reports. The role involves staying current on regulatory changes, escalating issues as needed, and building working relationships across the organization to understand both immediate and strategic compliance challenges.
This position suits someone with at least six years of audit or examination experience who understands financial services regulations and compliance control frameworks. You'll need to interpret regulatory requirements, identify compliance risks in DTCC's products and operations, and communicate technical findings to non-specialist audiences. The hybrid arrangement—three days onsite in Tampa, two remote—offers flexibility while keeping you connected to the team and broader organization.
DTCC offers competitive base pay plus annual incentive, comprehensive health and life insurance, pension benefits, and robust paid leave. The company emphasizes professional development and has committed to building a diverse, inclusive workplace.
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