Compliance Associate

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).

• Assisting in the monitoring and review of employee and contingent worker personal securities and digital assets trading activity. This includes reviewing and assisting staff with disclosure of trading and digital assets accounts, engaging with brokerage firms to conduct account research and add accounts to electronic feeds, reviewing trading alerts, assisting in potential policy violation case reviews, reviewing trade pre‑clearance requests and other activities associated with policy compliance.
  
  Will respond to employee and contingent worker inquiries, as needed/directed.
• Assisting in the review of employee and contingent worker gifts, entertainment and conflict of interest reporting, and responding to employee and contingent worker inquiries as needed/directed.
• Preparing weekly and monthly reports and metrics.
• Assisting in management of team mailbox and hotline, including responding to staff inquiries.
• Supporting the Employee Compliance Director and Associate Director as needed.
• Participating in meetings with employees, including senior management, under supervision.
• Performing other projects or assignments as needed.
• Aligns risk and control processes into day to day responsibilities to monitor and mitigate risk; escalates appropriately.

NOTE:

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

• Minimum of 4 years of related experience
• Bachelor's degree preferred or equivalent experience

• Strong analytical skills and attention to details
• Ability to multi‑task and to adhere to established deadlines while working in a fast‑paced environment required
• Strong proficiency with PC based applications including Excel, SharePoint, Word, and Power Point
• Ideal candidates will have demonstrated experience in the financial services industry

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.