Associate Regulatory Control Director Associate Regulatory Control Director …

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
Associate Regulatory Control Director
Careers ☰ Regulatory Control & Oversight Associate Director New 191410 Requisition # About this Opportunity 

The individual will engage and partner with key stakeholders across the division to align control framework and documentation with best practices that are put into place by the Regulatory Control and Oversight (RCO) team. The incumbent will lead a team and manage moderately complex initiatives and coordinate with cross-functional resources to achieve business objectives. In carrying these responsibilities, the incumbent must work collaboratively with the RCO Management, Legal, Compliance, Operational Risk, and other key internal and external stakeholders to help assess, capture, document, communicate, validate and deliver soundness with GOCS Rules, Policies, Internal Procedures/Job Aids, Support Functions, and Departmental Processes.

Specific Responsibilities

  • Leads efforts to identify and mitigate risk within assigned area(s) of responsibility

  • Ensures the governing documents are applied correctly

  • Ensures the integrity of the Covered Clearing Agency standards (CCAS) and the principals for Financial Market Infrastructures (PFMI) are maintained

  • Tracks and reports key milestones to leadership

  • Recommends and drives work-process improvements

  • Develops, communicates and ensures adherence to department risk policies, procedures and best practices

  • Assist in reviewing US and Regulatory Rules, Regulations, and Policies to ensure organizational alignment

  • Fosters an environment of regulatory awareness and ensures regulatory compliance

  • Assists in aligning risk and control processes into day to day responsibilities to monitor and mitigate risk

Business Unit: Clearing Agency Services & GOCS

The Global Operations, Client Services & Administration group delivers world-class safety and soundness for the global financial services industry. The team provides DTCCs portfolio of core securities and superior transaction processing and client services support in an environment that minimizes risk and cost while maximizing efficiency.

The Regulatory Control and Oversight (RCO) organization, which services GOCS areas, engages with teams to review the business area compliance to the rules, regulations, and governing documents that impact the area. In doing so, the RCO team ensures the alignment and integrity of the documentation and support functions applicable to the different lines of businesses within GOCS that may be subject to regulatory review. The RCO team familiarizes themselves with governing documents and interfaces with other key business units to gain a heightened understanding of rules and regulations so that they can be employed and standardized across the GOCS division.  


Sound Like You?

  • Minimum of 7 years of related experience
  • Bachelor's degree with Master's or equivalent experience preferred

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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