Compliance Testing Senior Associate

The Depository Trust & Clearing Corporation (DTCC); Tampa (FL); Hybrid; USD 90,000 - 140,000; Full time

Benefits offered by this job

Base pay + incentive

Health & life insurance

Retirement benefits

Paid time off

Hybrid work model

Job summary

DTCC in Tampa is seeking a compliance professional to help ensure adherence to regulatory requirements across DTCC’s businesses. You will assess controls and collaborate with multiple teams to implement sustainable corrective actions.

The role emphasizes documenting work, building relationships with business units, and staying current with evolving regulations. A Bachelor's degree and 6+ years of experience are preferred; the position offers a hybrid onsite/remote schedule.

Qualifications

• 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.

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

Skills

Audit/examination experience

Compliance principles

Regulatory requirements knowledge

Education

Bachelor’s degree or equivalent

Job description

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.

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).

The Impact You Will Have In This Role

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

The salary range is indicative for roles at the same level within DTCC across all US locations. Actual salary is determined based on the role, location, individual experience, skills, and other considerations. 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.