Records Management Associate

Legal, Compliance & Regulatory Relations
181971 Requisition #
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Business Unit: General Counsel’s Office
Department:  Compliance
Job Family: Legal, Compliance & Regulatory Relations
Job Activity:  Oversight and Control
Job Title: Records Management Associate
Corporate Title: Associate
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:

The Records Management Associate supports efforts to comply with applicable regulatory requirements as they relate to all businesses and functional areas across DTCC and its subsidiaries globally.  The primary focus of this position is to assist the Records Management Team with establishing and maintaining compliance controls related to DTCC’s Record Management Program.

Specific Responsibilities:
  • Support the completion of routine tasks and periodic initiatives associated with the Records Management Program, such as:
  • Conducting initial reviews of key processes (e.g., ongoing monitoring) and submissions received from the businesses, including following-up with subject matter experts to obtain additional information, as needed; 
  • Assessing the impact of business developments and regulatory updates on the program, under the supervision of the Associated Director or Director; and
  • Assisting with the planning, execution and reporting on periodic initiatives (clean-up exercise, records inventory refreshes, etc.).
  • Support further development of the Records Management Program, which includes: 
  • Assisting with the implementation of new and enhanced controls and processes;
  • Drafting internal communications for key program changes, as needed; and 
  • Participating in the collaboration on related initiatives with key stakeholders (e.g., Legal, Enterprise Infrastructure, Privacy, and Technology Risk Management) and other subject matter experts.
  • Provide guidance to the businesses on their record management obligations, under the supervision of the Associate Director or Director.
  • Monitoring and documenting the completion of tasks as well as the escalation and resolution of compliance issues, as appropriate.
  • Participate in ongoing projects necessary to support the team’s initiatives, both within the Compliance Department and across the firm. 
  • Perform other special projects or assignments, as requested.
  • Maintain regulatory awareness and compliance with risk-related policies and best practices.
  • 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
  • Strong interpersonal, analytical, and problem-solving skills, as well as the ability to build relationships with the business and other control areas.
  • Demonstrated data analysis and presentation skills.
  • Ability to research and analyze regulatory issues as they relate to DTCC’s businesses globally.
  • Basic knowledge of DTCC’s operations, businesses and technology.
  • Excellent written and verbal communication and follow up skills.
  • Strong organizational skills and attention to detail.
  • Ability to manage multiple priorities across varying functions.
  • Proficient in MS Word, PowerPoint, Excel and SharePoint.
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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