Records Management Senior Associate

Legal, Compliance & Regulatory Relations
200267 Requisition #
About this Opportunity

You're one of a kind, and so are we! DTCC employees work at the center of the world's financial markets, bringing both innovation and stability to the entire post-trade lifecycle. Our environment favors openness and gives people freedom to do their jobs well, by encouraging diverse opinions and emphasizing teamwork. A DTCC career is more than a good way to earn a living. It's the chance to make a difference at a company that's truly one of a kind.

The Records Management Senior Associate serves a key role within the Compliance team and plays a vital part in ensuring DTCC's compliance with applicable laws and regulations as they relate to all businesses and functions 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.


Business Unit: Counsel's Office


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.

Department: Compliance


The Compliance Department is dedicated to protecting DTCC against risks of non-compliance with applicable laws and regulatory matters affecting DTCC and its subsidiaries, including evaluating and responding to new and changing federal, state, local and administrative regulations.

What You'll Do

  • Support further development of the Records Management Program, which includes but not limited to
    • Assisting with the development and implementation of new and enhanced controls and processes;
    • Drafting and remitting internal communications for key program changes, as needed;
    • Participating in the collaboration on related initiatives with key stakeholders (e.g., Legal, IT, Privacy, and Technology Risk Management) and other subject matter experts;
    • Developing and documenting program enhancements that support tool development or Records Management program; and
    • Communicating with cross functional teams on program and tool updates.
  • 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.).
  • Provide guidance to the businesses on their record management obligations, under the supervision of the Associate Director or Director.
  • Participate in ongoing projects necessary to support the team’s initiatives, both within the Compliance Department and across the firm.
  • Monitor and document the completion of tasks as well as the escalation and resolution of compliance issues, as appropriate.
  • Communicate and maintain regulatory awareness and compliance with risk-related policies and best practices.
  • Perform other special projects or assignments, as requested.
  • Aligns risk and control processes into day to day responsibilities to monitor and mitigate risk; escalates appropriately

    Sound Like You?

    • Minimum of 8 years of financial services industry experience in audit, risk, compliance, or regulatory functions

    • Bachelor's degree preferred with Masters or equivalent experience

    Additional Qualifications

    • Experience working in a project-based role
    • 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 (including reporting and analysis tools).
    • 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.

    Who We Are

    With over 45 years of experience, DTCC is the premier post-trade market infrastructure for the global financial services industry. From operating facilities, data centers and offices in 16 countries, DTCC, through its subsidiaries, automates, centralizes and standardizes the processing of financial transactions, mitigating risk, increasing transparency and driving efficiency for thousands of broker/dealers, custodian banks and asset managers. Industry owned and governed, the firm simplifies the complexities of clearing, settlement, asset servicing, data management, data reporting and information services across asset classes, bringing increased security and soundness to financial markets. In 2018, DTCC’s subsidiaries processed securities transactions valued at more than U.S. $1.85 quadrillion. Its depository provides custody and asset servicing for securities issues from 170 countries and territories valued at U.S. $52.2 trillion. DTCC’s Global Trade Repository service, through locally registered, licensed, or approved trade repositories, processes over 14 billion messages annually. To learn more, please visit us at or connect with us on LinkedIn, Twitter, YouTube and Facebook.

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