Lead IT Regulatory Reporting Specialist

Information Technology
190364 Requisition #

Department/Area Function:

The Information Technology group delivers secure, reliable technology solutions that enable DTCC to be the trusted infrastructure of the global capital markets. The team delivers high-quality information through activities that include development of essential capabilities to meet client needs with appropriate standards and governance.


The IT Governance area provides oversight of DTCC's IT organization by reporting on IT’s performance, and ensuring IT risks and controls are being adequately managed, through its three functions:  IT Governance and Performance Management, IT Risk & Control, and IT Regulatory Reporting. The IT Regulatory Reporting function within OICO / IT Governance provides oversight on the Reg SCI Operating Model, as well as external Regulatory Exams and external Audits.


Position Summary:   

Responsible for providing technical and analytical skills to the IT Regulatory Reporting function within Office of CIO.  Under the supervision of the Director of IT Regulatory Reporting will assist the creation and implementation of the processes related to the Reg SCI (Regulation SCI) Operating Model & other related IT Regulatory Reporting functions. 


The position is responsible for the development of all efforts related to executing, managing and enhancing the Reg SCI Operating Model at DTCC in alignment with Regulation SCI (SEC) and the associated Reg SCI Policies & Procedures (DTCC).  These processes include creation of Material System Changes & Events Reporting, Annual Certification of SCI Policies & Procedures, addressing Reg SCI audit action plans, and producing periodic updates to support status reporting.   This individual will need to assist engage RSPs (Responsible SCI Personnel), Document Owners, and Audit functions to manage the related activities.  


This individual will also analyze and propose improvements in order to automate processes.


Principal Responsibilities:

·         Assist in operationalize and enhance the Reg SCI (Regulation SCI) Operating Model and associated day-to-day activities aligned to Regulation SCI (SEC) and the associated Reg SCI Policies & Procedures (DTCC)

·         Assist in the implementation of the processes related to the Reg SCI Operating Model that will drive Reg SCI Reporting and Governance

·         Engage with Regulatory Relations, RSPs, NIO and CHEC to review the Reg SCI event impact

·         Assist in providing Immediate & Quarterly Reg SCI Reporting as required for Material System Changes & Events Reporting

·         Assist in providing Governance of the Reg SCI Operating Model through Annual Certification of SCI Policies & Procedures

·         Track MSIs and assist in implementation of Reg SCI Audit Action plans to address any control gap and effectively reducing risk

·         Maintenance of Reg SCI SharePoint Site with all the related information that is shared with Stakeholders

·         Mitigates risk by following established procedures & monitoring controls, spotting key errors, and demonstrating strong ethical behavior.

·         Aligns risk & control processes into day to day responsibilities for monitoring and mitigating risk; escalates appropriately.


Knowledge and Skills Required:

·         Possesses and maintains knowledge and experience of information Technology methodologies, best practices, and technology aligned with policy and control standards.

·         Experience in financial services, securities or other financial instruments processing or Information technology software would be ideal

·         Experience with regulatory exams

·         Experience with onsite-offshore model

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