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Depository Trust and Clearing
Depository Trust and Clearing

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What is it like to work at Depository Trust Clearing?

Depository Trust Clearing (DTC) is a company that values collaboration, innovation, and customer satisfaction, fostering a dynamic and supportive work environment.

As a leading provider of securities clearing and settlement services, DTC operates with a focus on efficiency, security, and reliability, employing a diverse team of professionals in various roles, including operations, technology, and risk management. The company's mission is to provide secure, efficient, and reliable clearing and settlement services to the North American capital markets.

Working at DTC may appeal to candidates who are interested in a career in finance, technology, or operations, as the company offers opportunities for professional growth, development, and advancement in a fast-paced and dynamic industry.

What makes Depository Trust Clearing an attractive place to work?

Depository Trust Clearing (DTC) is a leading provider of post-trade clearing and settlement services, playing a critical role in the global financial markets. As a workplace, DTC offers a dynamic environment that values innovation, collaboration, and stability, with opportunities for employees to contribute to the development of cutting-edge technologies and solutions. Joining DTC can provide professionals with a chance to make a meaningful impact in the financial industry, while also advancing their careers through training, mentorship, and career advancement opportunities.

What are the most popular job types at Depository Trust Clearing?

    What are the most popular jobs at Depository Trust Clearing?

    What are the most popular categories at Depository Trust Clearing?

    Business Aligned Compliance Executive Director

    The Depository Trust Clearing

    Tampa, FL • Hybrid

    Full-time

    Medical, Life, Retirement, PTO

    Re-posted 18 days ago

    Job description

    Are you ready to make an impact at DTCC?
    Do you want to work on innovative projects, collaborate with a dynamic and supportive team, and receive investment in your professional development? At DTCC, we are at the forefront of innovation in the financial markets. We are committed to helping our employees grow and succeed. We believe that you have the skills and drive to make a real impact. We foster a thriving internal community and are committed to creating a workplace that looks like the world that we serve.
    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.

    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).

    The Impact you will have in this role:

    The Executive Director for Business Compliance is responsible for supporting the business's identification, development and monitoring of key controls leveraged by DTCC to maintain compliance with its regulatory requirements, primarily Covered Clearing Agency Standards ("CCAS"). The function maintains a centralized inventory of regulatory requirements for DTCC Businesses, facilitates mapping of those requirements to controls and conducts monitoring and testing to validate the controls are fit for purpose and adhered to. In addition, the function monitors Policy and Procedures that demonstrate compliance with the Business's regulatory requirements and works with management to address gaps and inconsistencies. The function is also the primary Compliance interface for exams and monitors for trends, guidance and new regulations which impact the Business and require enhancements to the existing compliance control framework. Additionally, the group prepares reports on the status of the program to Board, Committees and senior management.

    Your Primary Responsibilities:
    • Develop and maintain a comprehensive understanding of applicable laws and regulations applicable to the covered Business areas, as well as requirements and resulting controls that enable compliance.
    • Evaluate Business related compliance requirements and readiness for any new initiative or business venture
    • Monitor for new or changing regulations and assess the Business's readiness for compliance.
    • Develop and maintain a risk-based continuous evaluation of existing processes and related controls to challenge adequacy relative to the existing regulations and best practices
    • Work with applicable areas to develop action plans for development and enhancement of compliance controls and provide ongoing support and monitoring of the implementation of those controls
    • Support Regulatory Relations, GCO and Business areas in regulatory examinations, inspections and inquiries.
    • Advance DTCC's response time to address compliance gaps or weaknesses
    • Monitor regulatory trends and actions to proactively anticipate future areas of regulatory focus
    • Working in partnership with Compliance Risk Assessment and Testing, monitor key inherently high-risk compliance requirements and the design and effectiveness of the processes, controls, and metrics within DTCC Businesses related to compliance with regulatory requirements (e.g. CCAS, Reg SCI, etc.)
    • Monitor DTCC Policies and Procedures to maintain compliance with key regulations and identify and address any gaps or inconsistencies and test/monitor for adherence to key controls
    • Communicate key Compliance program statuses, issues, and escalation of key risks via maintenance and production of Board, Committee and Management reporting of compliance program effectiveness, issues, risk tolerances, operational risk profiles and key metrics
    • Support and monitor ongoing staff education and development in effective risk management
    • Serve as key member of compliance management team globally, including compliance with all applicable global regulations and guidance
    • Oversee teams' partnership with the Businesses, Legal department and other second line control. Serve as a senior liaison on cross-functional teams
    • Partner with DTCC management to ensure that compliance programs and measures are aligned with the overall corporate compliance strategy (including programs related to legal review and risk initiatives)
    • Fosters a risk management culture through implementation and demonstration of processes and procedures which identify and mitigate risk
    Qualifications:
    • Minimum of 15 years of related experience
    • Bachelor's degree preferred or equivalent experience
    Talents Needed for Success:
    • Strong knowledge of clearing agencies and regulatory environments
    • Knowledge of banking and securities laws including Standards for Covered Clearing Agencies
    • Knowledge of both domestic and global markets preferred
    • Excellent listening and communication (oral and written) skills to effectively interface with all levels of leadership
    • A highly organized and disciplined individual able to effectively develop as well as manage and influence a team of experienced professionals across a global organization

    The salary range is indicative for roles at the same level within DTCC across all US locations. Actual salary is determined based on the role, location, individual experience, skills, and other considerations. We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

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