Manager Compliance Testing
Position Summary
Support the Vice President and Director of the OCRC Compliance Controls and Testing Team to ensure DTCC's adherence to regulatory and compliance requirements as they relate to all lines of business and across all functional areas of the various subsidiary companies are comprehensive, accurate, monitor, control and report in a timely manner to senior management.
Principal Responsibilities
**Works closely with Vice President and Director of Compliance Controls and Testing and business line management in coordinating/conducting compliance reviews, performing follow-up with business areas, documenting recommendations and ensuring compliance with recommendations.
**Assess the effectiveness of the control environment in compliance with applicable laws and regulations including but not limited to Regulation W, Escheatment, and Regulation H. Ensure that processes comply with established policies and procedures.
**Review and evaluate internal controls and procedures established by DTCC in complying with applicable state and federal laws and regulations.
**Identify, document, evaluate and report on compliance risks associated with DTCC's products, services, customers, and operations.
**Provide compliance support to DTCC business units via Compliance Liaisons and DTCC Compliance Committee.
Experience
**7+ years combined financial services experience in compliance, audit or regulatory functions.
**5+ years experience in regulatory Compliance/Auditing/Operations.
Knowledge/Skills
**Strong audit/internal controls/regulatory and/or compliance testing skills or high level of understanding of the various DTCC business operations, systems/applications used in the business areas;
**Ability to manage multiple priorities across varying functions;
**Strong written and verbal communication skills;
**Strong ability to interpret laws and regulations and communicate that information to management and line personnel;
**Extensive knowledge of regulatory requirements within the financial services sector;
**Ability to analyze risks and recommend controls to mitigate regulatory compliance;
**Ability to interface with various levels of management ;
**Strong team management, organizational, analytical and project management skills; and
**Strong PC skills.
Education, Training or Certification
Bachelor degree in business related field. Advanced degree and or certification (MBA/MS, CPA, CIA, CFE, CRP, CAMS, CAMLP) a plus.
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