Careers

Manager Regulatory Relations

📁
Legal, Compliance & Regulatory Relations
📅
190009 Requisition #
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Business Unit: General Counsel’s Office
Department: Regulatory Relations
Job Family: Legal, Compliance & Regulatory Relations
Job Title: Manager Regulatory Relations
Corporate Title: Associate Director
FLSA Code (US Only): Exempt
People Manager: No


Business Unit Description:


The General Counsel’s Office is a valued, trusted and responsive partner within DTCC. The team promotes and protects the best interests of the DTCC family of companies by creating and facilitating solutions and providing guidance on legal and regulatory matters.

 

Position Summary:


Coordinate regulatory examinations for DTCC’s regulated subsidiaries; assist in the processing of regulatory requests for information; act as a liaison and central point of contact for regulators and requests outside the examination context.

 

Specific Responsibilities:

  • Serve as DTCC’s primary interface with regulators globally.
  • Coordinate all aspects of physical onsite examinations including the coordination of meetings, and the review and submission of documentation to regulators.
  • Assist in processing regulatory requests for information by gathering information from personnel at all levels from various departments across DTCC. 
  • Review responses for timeliness and responsiveness, track follow-up items, and facilitate the submission of responsive information to regulators.
  • Assist in the coordination and drafting of post-examination response letters to regulators.
  • Contribute to internal management reporting with respect to examinations, meetings, and other ad-hoc requests. 
  • Generally assist the DTCC Regulatory Relations leadership team as necessary.

Leadership Competencies for this level include:

  • Feedback:  Seeks feedback from others, provides feedback to others in support of their development, and is open and honest while dealing constructively with criticism.
  • Delegating:  Effectively manages tasks and people, taking a practical approach to determine the most effective method of execution while respecting others’ expertise and considering others’ feelings and working styles.
  • Inclusive Leadership: Values individuals and embraces diversity by integrating differences and promoting diversity and inclusion across teams and functions.
  • Team Building: Builds teams by quickly establishing relationships and drives a team identity and shared purpose based on diversity of thought, skills and personalities.

Qualifications:

  • Minimum of 5 years of related experience in the financial services industry with experience in a regulatory or support and control function such as
  • Legal, Compliance, Audit, or Risk, or senior paralegal with regulatory/litigation experience at a law firm.
  • Bachelor's degree required with paralegal experience a plus.

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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