Careers

GOCS Ops Risk & Control Specialist

As members of the Global Operations and Client Services department, we aim to “be the difference” in each interaction so that our members can exceed their clients’ expectations. Although team members are located in six different countries, we have one universal goal - to provide the securities industry with superior operations processing and client services support in an environment that minimizes risk and cost while maximizing efficiency. –Always having the client experience top of mind.
 
What We Offer
 
DTCC’s Global Operations and Client Services Operations, Risk and Control department is a dedicated team that delivers world-class safety and soundness for the global financial services industry. The team provides DTCC’s portfolio of core securities and superior transaction processing and client services support in an environment that minimizes risk and cost while maximizing efficiency. 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.
 
Our Ideal Candidate

In our dynamic and collaborative environment, providing a best-in-class experience for all stakeholders is challenging in the global financial services industry. That is where you come in. You love ensuring safety, creating a client focused environment, mitigating risk, and providing oversight in order to deliver exceptional experiences.
 
So, what does it take to be a DTCC Operations Risk and Control Specialist?
 
  • Performing day-to-day processing activities for the operating area
  • Ensuring strict adherence to procedures and critical time frames
  • Contributing to develop/modify procedures and controls in order to reduce risk
  • Interacting with participants, paying agents, transfer agents, and other DTCC operational areas.
  • Responsible for conducting, reviewing, analyzing, resolving, and escalating the results of any manual or automated Office of Foreign Asset Control screening, Section 311 and other compliance/regulatory related screening conducted by the business unit.
  • Responsible for supporting the department in adherence to Anti-Money Laundering/ Bank Securities Act policies and procedures as set-forth by various regulatory bodies.
  • Interfaces with clients, transfer agents, vendors, various regulatory bodies on a regular basis, as well as internal departments (e.g., Compliance, General Counsel's Office, Underwriting, and Finance).
  • Assists management on routine automation/product development functions and in system testing as needed.
  • Contributes to management testing process and activities related to audits and risk management, and business continuity as needed.
  • Provide support, monitor and research of cash balances (e.g., reconcile bank accounts, monitor, research and balance several internal accounts).
  • Provide support, monitor and research of security/position balances (e.g., stock record balancing, client short position monitoring)
  • Aligns risk and control processes into day to day responsibilities to monitor and mitigate risk; escalates appropriately
Qualifications

Candidates should possess:
  • 3+ years of professional work experience
  • Bachelor’s degree preferred 

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, DTCC’s 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. DTCC’s 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 www.dtcc.com or connect with us on LinkedIn, Twitter, YouTube and Facebook.


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