GOCS Underwriting Team Lead

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Business Unit: Global Operations and Client Services
Department:  Underwriting - Eligibility
Job Family: Global Operations, Client Services & Administration
Job Activity:  Infrastructure Operations 
Job Title: GOCS Underwriting Team Lead
Corporate Title: Associate
FLSA Code (US Only): Exempt
People Manager: Yes

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 Operations Team Leader provides day-to-day supervision to staff within a defined section of a broader department, and serves as the technical subject-matter-expert for the section. In the supervisory/leadership role, the Operations Team Leader 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.  In this role, the incumbent is also responsible for all administrative activities for the section, and for audit, risk-management, regulatory, and compliance related duties at the appropriate level.


In the technical subject matter expert role, the Operations Team Leader participates in short and long-term projects related to product/service and system development and enhancement, serves as the go to person on the most complex operational problems, develops training materials for staff, and works with management and to design and monitor business reports. 

Specific Responsibilities:

  • Determines general division of workload, delegates, reviews, monitors, and approves staff outputs
  • Serves as team member for large-scale system enhancements and procedural redesigns
  • Assists with benchmark/goals preparation and tracking, audit follow-up, and compliance and risk-management activities including but not limited to MSI identification and reporting
  • Identifies processing inconsistencies, lack of controls, and takes ownership of action plans to remedy the situation
  • 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.
  • Interacts with internal and external customers and management as needed on an ongoing basis.
  • Collects metrics data related to productivity, volume, accuracy, and problem-resolution
  • 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
  • Proven ability to prioritize, meet deadlines, identify operational risks and “red flags”, and to communicate with staff, senior management, and customer
  • PC skills and general knowledge of mainframe applications
  • Strong organizational, analytical, coaching, and communication skills
  • Bachelor's degree preferred with Masters or equivalent experience

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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