GOCS Securities Processing Generalist

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Business Unit: Global Operations & Client Services  
Job Family: Global Operations, Client Services & Administration
Job Activity: Client Service Delivery
Job Title: GOCS Securities Processing Generalist
Corporate Title: Associate
FLSA Code (US Only): Exempt
People Manager: No

Business Unit Description:

The Global Operations, Client Services & Administration group 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.

Position Summary:

The Securities Processing Reorganization team works closely with leadership and team members.  The position is with the Custody Reorg team to facilitate processing that includes: mandatory corporate actions, municipal full or partial calls, CD redemptions, tender and exchange offers, convertible security and warrant subscription exercises.  Responsibilities include, processing time critical customer facing transactions involving physical certificates, internal account and position balancing, responding to phone and on-line client inquiries, interacting with outside entities such as transfer, reorg, paying and redemption agents, issuers and other internal DTC departments.

Specific Responsibilities:
  • Processes day to day corporate action events timely and accurately
  • Allocates stock and or cash new entitlements
  • Reviews and escalates exception conditions with the team leads and associate director to determine  appropriate courses of action 
  • Interacts with external custody and non-custody clients to support and resolve all inquires and issues  
  • Ensures compliance with existing SLAs
  • Assists management on routine automation/product development functions and in systems testing as needed. 
  • Is expected to develop key relations with peers at customer firms to facilitate problem-resolution
  • Assists in the creation of  Business Require Documents and automation requests for ADM and Business Automation and Reports
  • Maintains an understanding of current as well as assessing the impact of new or revised Compliance/Regulatory related laws, regulations and regulatory guidance which apply to their respective department or business area
  • 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. 
  • Aligns risk and control processes into day to day responsibilities to monitor and mitigate risk; escalates appropriately
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.
  • Minimum of 5 years of related experience
  • Bachelor's degree preferred with Masters or equivalent experience
  • Ability to recognize unique or non-standard elements of an event that may require exception processing
  • Ability to recognize unique or non-standard elements of an event that may require exception processing
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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