Regulatory Relations Associate Director

Legal, Compliance & Regulatory Relations
190825 Requisition #

About this Opportunity 


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.


As a Regulatory Relations Associate Director you will be responsible for the coordination of regulatory examinations for DTCC's regulated subsidiaries. In addition, you will assist in the processing of regulatory requests for information acting as a liaison and central point of contact for regulators and requests outside the examination context.

What You'll Do

  • Participate in internal meetings with staff to respond to regulator requests and prepare for regulator meetings including preparing executives and leadership with key messages to present when working with regulators
  • Build and support relationships with examiners by serving as their central point of contact
  • Facilitate meetings with regulators and management ensuring transparent communication between the general counsel’s office and the regulators
  • Ensure timely submission of all requests from regulators
  • Assist in the coordination and drafting of post-examination response letters to regulators
  • Mitigate risk by following established procedures and monitoring controls, spotting key errors and demonstrating strong ethical behavior.
Sound Like You?
  • Bachelor's degree in a related discipline is required. 
  • Master’s degree or JD candidates are welcome to apply
  • Minimum of 3 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, regulatory/litigation experience at a law firm is required
  • Demonstrated relationship management skills
Who We Are

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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