Careers

Compliance Manager

📁
Legal, Compliance & Regulatory Relations
📅
191448 Requisition #

As members of Compliance, we are dedicated to protecting DTCC by ensuring our policies and practices are compliant. Although team members are located in five different countries, we have one universal goal: to develop and maintain DTCC’s compliance program in order to provide enterprise-wide oversight support to DTCC and its subsidiaries.

 
What We Offer

DTCC’s Compliance department is an innovative team dedicated to protecting DTCC against risks of non-compliance with applicable laws and regulatory matters affecting DTCC and its subsidiaries including DTCC Derivatives Repository plc (DDRL). We are thought partners and advisors to the business, go-getters, and change agents who have a passion for aligning business practices with current laws and regulations.

 

The DDRL Compliance department is responsible for compliance with legal and regulatory matters affecting DDRL and other DTCC subsidiaries, including:

  • Evaluating and responding to new and changing European and national administrative laws and regulations, as well as international standards;
  • Interacting with ESMA and other regulators in response to compliance requirements, examinations, inspections, relevant inquiries and requests;
  • Maintaining a proactive relationship with regulators to forward DTCC and DDRL’s strategy.
  • Collaborating with Corporate Compliance and other DTCC divisions to maintain effective and compliant controls for DDRL and other EU businesses;
  • Designing and implementing appropriate training and awareness programs for DDRL and EU staff;
  • Monitoring compliance with DDRL’s internal policies and procedures;
  • Evaluating compliance programs established by DDRL and related DTCC subsidiaries;
  • Advising DDRL business areas in the development of their procedures to comply with DDRL and DTCC policies; and
  • Acting as a subject matter expert for business areas that need help resolving regulatory and compliance issues.
Our Ideal Candidate


Providing a best-in-class experience for all stakeholders is challenging in the ever-changing regulatory landscape. That is where you come in. You love the strategic planning, consultation, and execution it takes to deliver enterprise wide oversight.

 

So, what does it take to be a DTCC Compliance Manager?

 
  • Evaluating and responding to new and changing European and national administrative laws and regulations, as well as international standards;
  • Interacting with ESMA and other regulators in response to compliance requirements, examinations, inspections, relevant inquiries and requests;
  • Conducting technology application reviews;
  • Working closely with the first and second lines of defence to assess technology risks;
  • Identifying and evaluating the effectiveness of technology controls designed to address those risks;
  • Collaborating with Corporate Compliance and other DTCC divisions to maintain effective and compliant controls for DDRL;
  • Monitoring compliance with DDRL’s internal policies and procedures;
  • Working with the business to log and report risk incidents to the appropriate regulators;
  • Maintaining compliance procedures and the compliance manual;
  • Providing administrative support to the Compliance team;
  • Maintaining logs of compliance documents and regulatory submissions;
  • Tracking due dates and deliverables, to meet internal KPI targets and ensure respect of all regulatory deadlines;
  • Other duties as assigned.
 
Qualifications

Candidates should possess:

 
  • Five plus years of experience in financial services industry compliance, legal, or regulatory functions. 
  • Minimum three years of experience working within an internal audit or IT compliance function as an internal employee or as part of a professional services firm
  • Knowledge of derivatives compliance is preferred.
  • Strong knowledge of the financial service industry regulatory environment.
  • Strong analytical skills; quickly understand complex processes, identify risks and inadequacies in procedures, and propose practical, sustainable solutions.
  • Strong organizational skills.
  • Strong written and verbal communication skills.
  • Superior PC skills.
  • Excellent knowledge of general compliance principles and standards.
  • Ability to interact with various levels of management at DDRL and DTCC.

Who We Are


With over 40 years of experience, DTCC is the premier post-trade market infrastructure for the global financial services industry. From our operating facilities and data centers around the world, we automate, centralize, and standardize the processing of financial transactions across the trade lifecycle, mitigate risk for thousands of institutions worldwide and protect the stability of the global financial system. We’re also leaders in the digital transformation of post-trade processing, leveraging the latest fintech innovations to meet the evolving needs of our clients to reduce costs and enhance efficiencies.

At DTCC we value our clients’ interests and partner to deliver superior results with excellence and innovation and lead with integrity. We proactively develop your potential and invest in your career. For more information, go to www.dtcc.com or connect with us on LinkedIn, Twitter, YouTube and Facebook.

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