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GOCS Corporate Actions Senior Team Lead

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Business Unit: Global Operations, Client Services & Administration
Department:  Dividend International Services
Job Family: Operations 

Job Title: GOCS Corporate Actions Senior Team Lead
Corporate Title: Senior Associate
FLSA Code (US Only): Exempt
People Manager: Yes


Department/Area Function: Asset Services provides centralization, simplification, and automation in the handling of depository-eligible debt and equity securities, and in the processing of principal, income, and corporate actions for these instruments. Functions designated as Securities Processing include all those related to the deposit and custody of physical securities.

 

The department is responsible for the asset servicing of foreign securities held at DTC in the form of ADRs, Global Share, and Foreign Denominated bonds, in particular as it relates to tax relief and providing Central Security Depositories’ (CSD’s) interface support including custody processing.

 

Position Summary: The Operations Team Lead provides day-to-day supervision to staff within a defined section of a broader department. In this role, the Team Lead is accountable for ensuring that operational procedures are followed, that customer service and productivity standards are met and that fundamental business and interpersonal skills are fostered among the staff. He or she leads their staff in the furtherance of corporate, departmental and section goals. The Team Lead is also responsible for all administrative activities for the section, including but not limited to appraisals, developing performance expectations and targeted coaching. Additionally, he/she is involved with audit, risk-management, regulatory, and compliance-related duties at the appropriate level.

 

Principal Responsibilities:

  • Determines general division of workload, delegates, reviews, monitors, and approves staff outputs
  • Resolves processing problems and escalates as necessary
  • Trains and coaches staff and performs all aspects of performance management
  • Ensures compliance with Customer Service delivery and SLA’s where appropriate
  • Assists with budget preparation, benchmark/goals preparation and tracking,audit follow-up, and compliance and risk-management activities
  • At the section level, leads initiatives related to corporate programs including employee survey activities, diversity, and community relations
  • Coordinates management testing
  • Collects metrics data related to productivity, volume, accuracy, and problem-resolution
  • Recommends work-process improvements
  • Coordinates business continuity and disaster recovery exercises for section
  • Interacts with internal and external customers and management as needed on an ongoing basis
  • Responsible for conducting, reviewing, analyzing, resolving, and escalating the results of any manual or automated compliance/regulator related Transaction Monitoring, including, but not limited to AML/BSA related monitoring conducted by the business unit
  • Responsible for conducting, reviewing, analyzing, resolving, and escalating the results of any manual or automated OFAC screening, Section 311 and other compliance/regulatory related screening conducted by the business unit
  • Responsible for supporting the department in adherence to AML/BSA policies and procedures as set-forth by various regulatory bodies
  • Other duties as assigned

Leadership Competencies for this level include:

  • Accountability: Demonstrates reliability by taking necessary actions to continuously meet required deadlines and goals.
  • Global Collaboration: Applies global perspective when working within a team by being aware of own style and ensuring all relevant parties are involved in key team tasks and decisions.
  • Communication: Articulates information clearly and presents information effectively and confidently when working with others.
  • Influencing: Convinces others by making a strong case, bringing others along to their viewpoint; maintains strong, trusting relationships while at the same time is comfortable challenging ideas.
  • Innovation and Creativity: Thinks boldly and out of the box, generates new ideas and processes, and confidently pursues challenges as new avenues of opportunity.

Qualifications:

  • 4+ years of financial services or related experience, including experience training staff and coordinating teams
  • College degree preferred or equivalent industry experience

Knowledge and Skills Required:

  • Strong organization, analytical, coaching and communication skills
  • Ability to problem-solve and oversee daily operations
  • PC skills and general knowledge of mainframe applications
  • Varied DTCC or industry product knowledge

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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