Compliance Risk Assessments & Testing Director

Legal, Compliance & Regulatory Relations
190042 Requisition #
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Business Unit: General Counsel’s Office
Department: Compliance
Job Family: Legal, Compliance & Regulatory Relations
Job Activity: Oversight and Control
Job Title: Compliance Risk Assessments & Testing Director
Corporate Title: Director
FLSA Code (US Only): Exempt
People Manager: Yes

Business Unit Description:

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.

Position Summary:

Leads a team of compliance professionals and fosters compliance with regulatory requirements applicable to DTCC's entities through the design, implementation, and execution of compliance risk assessments and testing.

Specific Responsibilities:
  • Fosters an environment of regulatory awareness and maintains awareness of regulatory requirements and ongoing changes in DTCC’s business
  • Interfaces and builds relationships with the business and support functions to understand tactical and big picture issues in the organization
  • Identifies and evaluates compliance risks present at DTCC
  • Develops and executes test plans to assess the effectiveness of the compliance control environment
  • Identifies control deficiencies and assists the business with identifying sustainable corrective actions
  • Documents work clearly and concisely and prepares well-written reports
  • Evaluates and enhances  processes within the function
  • Provides compliance support to Compliance Liaisons and business and support areas
  • Identifies and leads other special projects or assignments, as needed
  • Demonstrates and embeds behaviors and competencies that create a risk management mindset in the organization
  • Determines and supports alignment of the function with the overall compliance strategy
  • Supports and monitors ongoing staff education and development in effective risk management
  • Mitigates risk by following established procedures, spotting key errors and demonstrating strong ethical behavior
Leadership Competencies for this level include:
  • Strategic Thinking: Effectively translates the vision into specific business objectives, thinks of different ways to do things and through all angles to provide insights and develop strategies that guide future decisions. 
  • Organizational Savvy: Understands DTCC’s products and service offerings, as well as key stakeholders, and demonstrates the ability to form and cultivate internal networks that will help navigate getting things done. 
  • Leading Change: Embraces and adapts well to changing circumstances, identifies areas of needed change and employs many methods to drive those activities to meet organizational goals. 
  • Financial Acumen: Understands business financials and has the ability to work with complex data and information, and adopts practical and workable approaches.
  • Team Building: Builds teams by quickly establishing relationships and drives a team identity and shared purpose based on diversity of thought, skills and personalities. 
  • Inclusive Leadership: Values individuals and embraces diversity by integrating differences and promoting diversity and inclusion across teams and functions.
  • Minimum of 10 years of related experience
  • Bachelor's degree preferred with Masters or equivalent experience
  • Strong ability to identify and assess risk and recommend controls to mitigate risk, develop and execute control testing
  • Knowledge of and ability to interpret financial services industry regulatory requirements
  • Proven ability to lead staff across locations
About DTCC:

With over 40 years of experience, DTCC is the premier post-trade market infrastructure for the global financial services industry. From operating facilities and data centers around the world, DTCC automates, centralizes, and standardizes the processing of financial transactions across the trade lifecycle and mitigates risk for thousands of institutions worldwide.

At DTCC we value on 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.

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