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Careers ☰ Compliance Regulatory Change Management Associate Director New192120Requisition #About this Opportunity
You're one of a kind, and so are we! DTCC employees work at the center of the world's financial markets, bringing both innovation and stability to the entire post-trade lifecycle. Our environment favors openness and gives people freedom to do their jobs well, by encouraging diverse opinions and emphasizing teamwork. 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.
The Regulatory Change Management Associate Director serves a key role within the Compliance team and plays a vital part in ensuring DTCC's compliance with applicable laws and regulations as they relate to all businesses and functions. The primary focus of this position is to monitor for changes in the regulatory environment that may impact DTCC's businesses, and to analyze and assess the impact of existing and proposed regulations on those businesses.
Business Unit: Counsel's Office 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.
What You'll Do
Manages the Regulatory Change Management function, reporting to the Director of Regulatory Change Management.
Develops and maintains awareness of regulatory requirements.
Monitors for proposed new and changing laws, regulations and guidance that will or may impact DTCC and its subsidiaries, and disseminates relevant industry news and information to internal stakeholders.
Working with key stakeholders across DTCC, assesses the potential applicability and impact of changes to laws and regulations including identification of potential gaps, and ensures that gaps are appropriately and timely remediated. Further assists in identifying key controls that support regulatory compliance.
Analyzes control deficiency and operational incident data to identify risks associated with regulations through impact assessment.
Maintains lists of applicable regulatory requirements and commitments.
May serve as a resource to other business areas as it relates to compliance with existing and proposed regulations and guidance.
Mitigates risk by following established procedures and monitoring controls, spotting key errors and demonstrating strong ethical behavior.
Sound Like You?
Minimum of 7 years of related experience
Bachelor's degree preferred with Masters or equivalent experience
Ability to effectively engage in significant contact with internal stakeholders across all lines of DTCCs business.
Strong attention to detail is a must.
Who We Are
With over 45 years of experience, DTCC is the premier post-trade market infrastructure for the global financial services industry. From operating facilities, data centers and offices in 16 countries, 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. Industry owned and governed, the firm simplifies the complexities of clearing, settlement, asset servicing, data management, data reporting and information services across asset classes, bringing increased security and soundness to financial markets. In 2018, DTCCs subsidiaries processed securities transactions valued at more than U.S. $1.85 quadrillion. Its depository provides custody and asset servicing for securities issues from 170 countries and territories valued at U.S. $52.2 trillion. DTCCs Global Trade Repository service, through locally registered, licensed, or approved trade repositories, processes over 14 billion messages annually. To learn more, please visit us at or connect with us on , , and
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