Compliance Associate Compliance Associate …

Depository Trust Clearing Corporation
in Mango, FL, United States
Permanent, Full time
Be the first to apply
Competitive
Depository Trust Clearing Corporation
in Mango, FL, United States
Permanent, Full time
Be the first to apply
Competitive
Compliance Associate
Careers ☰ Employee Compliance Associate New 200375 Requisition #

Are you ready to explore a world of possibilities?

Join our DTCC family, and youll grow your expertise and become the best version of you. As you embark on a new journey, youll tackle challenges with flexibility and grace, learning new skills and advancing your career while having the time of your life.

Why you'll love this job:

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. 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.

Your responsibilities:

  • Review employee compliance system alerts, pre-approval requests, and disclosures and provide written recommended actions to management based on research.
  • Assist with investigations related to potential employee non-compliance with employee trade monitoring and gifts, entertainment and conflicts of interest policies.
  • Respond to inquiries from employees regarding compliance with internal policies.
  • Engage with brokerage firms to conduct account research and add accounts to electronic feeds.
  • Arrange and participate in meetings with employees, including senior management, under supervision.
  • Assist with testing of system enhancements against business requirements and identify issues.
  • Mitigate risk by following established procedures, escalating errors to management timely, and demonstrating strong ethical behavior.
  • Perform other projects or assignments as needed

Talents Needed for Success:

  • Minimum of 4 years of related experience
  • Bachelor's degree/ Masters or equivalent experience
  • Strong analytical/investigative skills and knowledge
  • Excellent written and verbal communication skills
  • Meticulous organizational skills, strong attention to detail, demonstrated ability to follow up and drive deliverables to closure
  • Proficiency in PC-based applications including Word, PowerPoint and Excel.
  • Knowledge of analytical or business intelligence tools preferred (e.g. PowerBI, Tableau, Cognos)

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, DTCCs 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. DTCCs 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  and 

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