Regulatory Relations Associate Director

As an Associate Director within DTCC’s Regulatory Relations department, you will play a key role in shaping and executing DTCC’s engagement with domestic and international regulators.  You will lead preparations for regulatory examinations and other supervisory exercises, partnering closely with senior leaders across the firm. In this role, you will also apply strong judgment and effective challenge to ensure regulatory responses are thorough, accurate, and aligned with DTCC’s regulatory approach.

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).

Primary Responsibilities

• Serve as a primary liaison between DTCC’s regulated entities and domestic and international regulators, including the SEC, Federal Reserve Bank of New York, New York State Department of Financial Services and the European Securities and Markets Authority.

• Lead end-to-end management of regulatory examinations and other supervisory exercises, including:

  • Tracking requests and ensuring timely submission of materials to regulators.

• Coordinating responses across all lines of defense.

• Reviewing responses with owners and senior management approvers to ensure accuracy, completeness, and consistency of messaging.

• Engaging with regulators to clarify requests and maintain constructive supervisory dialogue.

• Coordinate and facilitate meetings between regulators and DTCC personnel, including developing presentations in partnership with subject matter experts and leading internal preparation sessions.

• Support regulatory communications related to technology and operational incidents.

**NOTE: The Primary Responsibilities of this role are not limited to the details above.**

Qualifications

• Bachelor’s degree required.

• Minimum of 5 years of experience working at a financial services organization, technology company subject to regulatory supervision, regulatory agency and/ or a law firm.

• Minimum of 5 years of experience managing regulatory examinations and/or other supervisory matters.

   

   

Talents Needed for Success

• Proven experience managing complex supervisory matters.

• Strong critical thinking skills, with the ability to effectively challenge stakeholders at all levels.

• Excellent written communication skills, with the ability to convey complex topics clearly and concisely.

• Strong interpersonal and communication skills, with the confidence to engage senior stakeholders and regulators.

• Ability to manage multiple priorities in a fast-paced and highly regulated environment.

• Familiarity with technology-related regulatory topics, such as cybersecurity, digital assets, blockchain, and cloud infrastructure.

DTCC proudly supports Flexible Work Arrangements favoring openness and gives people freedom to do their jobs well, by encouraging diverse opinions and emphasizing teamwork.  When you join our team, you’ll have an opportunity to make meaningful contributions at a company that is recognized as a thought leader in both the financial services and technology industries. 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.

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