Business Aligned Compliance Associate Director

Pay and Benefits:
 

• Competitive compensation, including base pay and annual incentive
• Comprehensive health and life insurance and well-being benefits, based on location
• Pension / Retirement benefits
• Paid Time Off and Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being.
• DTCC offers a flexible/hybrid model of 3 days onsite and 2 days remote (onsite Tuesdays, Wednesdays and a third day unique to each team or employee).

Your Primary Responsibilities:
 

• Support DDR’s derivatives compliance program in compliance with applicable CFTC, SEC and Canadian regulations and guidance as well as relevant international requirements for trade repositories.
• Monitor regulatory reporting obligations in the jurisdictions in which DDR operates and perform regulatory change assessments to determine compliance impact. 
• Lead or assist in the preparation, review and submission of DDR Compliance department regulatory filings (including financial filings, operational report filings, and annual and periodic filings of registration materials). Provide back-up coverage and quality assurance for filings prepared by team members
• Coordinate the development of compliance-related controls, including policies and procedures, training, monitoring and oversight, testing and reporting, with other groups within DTCC Compliance, as well as Audit, Legal, Operational Risk and Resiliency (ORR), Enterprise Risk Management, Application Development and other control functions and business areas.
• Assist the DDR Chief Compliance Officer in preparation of DDR's Annual Compliance Reports, including coordinating the collection of required information, and obtaining attestations from various control functions.
• Assist in the preparation of Board and Audit Committee materials.
• Assess DTCC and DDR Compliance policies and procedures for compliance with DDR regulatory requirements.
• Assist in preparing responses to regulatory findings and coordinate with Audit and business unit staff on related action plans.
• Identify and develop appropriate automation and AI-enabled solutions to improve compliance processes while maintaining required review, governance and recordkeeping.
• Mitigates risk by following established procedures and monitoring controls, spotting key errors and demonstrating strong ethical behavior.

Qualifications:

• Minimum of 8 years of related experience
• Bachelor's degree preferred or equivalent experience

Talents Needed for Success:

• Knowledge of financial services, particularly in the securities markets 
• Knowledge of financial services laws and regulations
• Excellent listening and communication (oral and written) skills to effectively interface with all levels of leadership
• Ability to work in a team dynamic with team members in different locations
• Experience working at or with financial services regulators (e.g. SEC, FRB, NYSDFS, CFTC, ESMA, etc.) is highly desirable
• Knowledge of basic compliance principles and standards, including industry best practices and compliance controls