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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Restructuring Associate

If you're looking for a welcoming, diverse atmosphere, as well as the tools and support to foster your career, look to Duff & Phelps. We offer it all, plus the benefits and competitive compensation you expect as a professional. Bring your talent and motivation, and we'll provide you the means for success.

Responsibilities:
• Assist companies in financial distress including pre-crisis situations, out-of-court workouts, and Chapter 11 reorganizations
• Prepare or analyze cash flow forecasts, business plans and financial models
• Analyze client business plans, debt capacity, competitive positioning and strategy, key-contracts and relationships, and regulatory considerations
• Apply business, economics, finance, accounting and analytical skills to various client situations and practice disciplines
• Assist with liquidation and valuation analysis
• Valuation analysis and financial modeling for potential sale or merger
• Prepare complex cash flow projections to model business processes or actual or hypothetical transactions
• Preparation of and participation in management presentation and new business presentations
• Industry and business research
• Significant client interaction at multiple levels

Requirements:
• Minimum of 3 years experience at bulge bracket or reputable boutique or regional investment bank
• Minimum of 1 year restructuring/bankruptcy experience from an operational restructuring boutique and/or restructuring investment bank
• Bachelor's degree in Finance, Accounting, or Economics or an MBA
• Strong knowledge of corporate finance and expertise within the field of restructuring
• Highly motivated with the ability to work a demanding schedule in an entrepreneurial environment
• Superior interpersonal, communication, marketing, sales and organizational skills
• Excellent research abilities including familiarity with Bloomberg, Capital IQ etc

Duff & Phelps is committed to providing equal opportunities in employment. We will not discriminate between applications for reason of gender, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, age, veteran status, or disability.

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eT Developer

Main Function
The requirement is for an analyst programmer within the E-Trading team to:
* Join a team of analyst/programmers to work on C++ server and client side components
Main Duties
Analysis, Development, Testing
Would be expected to carry out all steps of the development lifecycle to deliver new versions of components for eT, namely…
* Liaising with business representatives to determine requirements
* Analysing those requirements to find the most appropriate method for incorporating them into existing systems
* Documenting the changes
* Developing those requirements
* Unit / system / regression / performance testing those requirements
* Reviewing code produced by others
* Working with the business representatives during the UAT stage
* Supporting the implementation of each new code release

Communication
* Must be able to communicate effectively with the trading desks to get requirements, handle issues and manage expectations
* Must be able to communicate effectively with other development team members, other project members, other managers and users, gauging the level of technical knowledge of the audience in these communications
Motivation
* Must be self-motivated, setting a high level of professionalism and excellence
Quality
* Should have a good appreciation of the software quality lifecycle, with emphasis on the importance of the testing stages
* Must also be able to maintain the project standards and ensure that they are adhered to, as well as proactively trying to add to these standards whenever possible

Overall should be confident, enthusiastic and proactive.

Person Requirements
Essential
Preferred

Qualifications /Education:
- Computer Science degree or equivalent

Experience Required:
- Strong commercial experience as analyst/developer
- Strong fixed income, rates experience
- Good knowledge of ECNs and MarketView

Skills and Knowledge:(Specific product knowledge/PC kills/languages etc.)
- Strong C++, solid STL
- Strong experience with relational databases (e.g. Microsoft SQL Server)
- Good exposure to software design
- Good exposure to multi-threaded programming
- Working with relational databases (e.g. Microsoft SQL Server)

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Retail Banking Project Manager (Downtown)

A very reputable bank downtown is seeking a senior project manager for their retail banking division.
The ideal candidate should have experience with dealing with regulators..

The role is multi-faceted, offering the opportunity to take ownership for, and contribute to, the success of projects through their entire life-cycle. The role will also entail scoping new projects that may be handed off to other areas for long-term ownership.

The successful candidate will work closely with Operations groups as well as other stakeholders that support the bank. The role requires the candidate to have an understanding of system architecture principles, project management fundamentals, and process analysis and design best practices. The successful candidate must also be able to analyze the commercial impact of business decisions. The candidate needs to understand basic financial analysis metrics and should be comfortable performing financial and other quantitative analyses.

The need to switch between strategy and detail and the balancing of work on multiple projects will make this role complex, challenging and rewarding.

Business Process Definition, Analysis & Solution Design
-Identify appropriate data sources (both qualitative and quantitative) for analysis when presented with business issues
-Source and analyze data to provide insight into issues
-Draft recommendations to address business needs based on analysis
-Define solutions (process-based, reporting-based, technology-based) to business issues
-Implement processes, tools, reporting solutions defined

Project Management
-Facilitate cross-functional groups to achieve common goals
-Define analysis- and implementation-focused project plans for self and small teams
-Track and report status on cross-divisional projects being completed by individuals across Operations
-Work with the stakeholders to prioritize work and drive milestones

Experience
-Relationship management experience
-Develop an effective network of relationships across operations
-influence and collaborate effectively with project resources
-Experience with retail banking products in an operations environment.
-Seven years process improvement, business analysis, and project management experience
-Clear understanding of project management and business analysis approaches
-Strong quantitative and qualitative analytical skills and a creative and flexible approach to problem solving
-Keen attention to detail
-Strong communication and influencing skills
-Strong sense of ownership and accountability for work
-Capable of setting direction and motivating team members outside the direct reporting line
-Fluency with all MS Office tools, including Access, Project, and Visio
- Ability to deal with ambiguity and define approaches to bring un-focused issues to resolution
- Exceptional written and verbal presentation skills
- Bachelors Degree
- Retail Banking experience-
-Consulting experience for financial services industry clients
-Experience working in or managing a PMO overseeing a large portfolio of project
-lean six sigma green belt experience

* Compensation: up to 115k base
* Principals only. Recruiters, please don't contact this job poster.

Send your cv to job-d9hyh-1259404880@craigslist.org

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