Regulatory Relations Specialist

About DTCC:

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.

Why You’ll Love This Job:

Being a member of the regulatory group the Director is primarily responsible for handling the management and oversight of regulatory requests and examinations of DTCC’s regulated entities including the Systemically Important Financial Market Utilities (DTC, NSCC and FICC), as well as the global trade repositories and other regulated entities. As part of this group, the candidate may also act as a liaison and central point of contact for regulators and regulatory requests outside of the requests/examination context, work on global regulatory policy developments pertinent to DTCC’s businesses and global operations, as well as give to regulatory-related projects and reporting.

Your Primary Responsibilities:

• Prepare and lead staff for regulatory interactions, regulatory requests, inspections, reviews, and examinations of DTCC’s regulated entities including the Systemically Important Financial Market Utilities (DTC, NSCC and FICC), as well as the global trade repositories and other regulated entities
• Collaborate with regulatory supervisors, including conducting meetings with regulatory staff and DTCC employees
• Coordinate all aspects of physical on-site examinations; supervise examination managers, process and prioritize information/data/meeting requests, facilitate receipt/delivery of responsive data and, where critical, review data for accuracy/responsiveness prior to submission to regulators.
• Work with VP and examined area in drafting, editing and coordinating submission of post-exam letters; chip in to issue tracking, reporting, metrics and deliver feedback on issues arising from regulatory examinations
• Work on global regulatory policy developments pertinent to DTCC’s businesses and global operations
• Provide general regulatory relations support including supplying to regulatory-related projects and reporting
• Drive and take ownership of identifying and mitigating risk, (such as: credit, market, liquidity, operational, legal and compliance, technology, systemic, and other risks) within assigned area(s) of responsibility
• Strengthen DTCC’s controls over risk and follow corporate initiatives, including but not limited to: New Initiatives Process (NIC), Management Self Identification of Audit Issues, Management Control and Awareness Rating (MCAR), Operational Risk Control Self Assessments (RCSA), etc.
• Mitigates risk by following established procedures, spotting key errors and demonstrating strong ethical behavior.

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

Talents Needed for Success:

• Minimum of 10 years of related experience
• Bachelor’s degree preferred with Masters or equivalent experience
• 4 to 7+ years in financial services industry with experience in a regulatory or support and control function such Legal and Compliance or Associate in a Law firm with regulatory/litigation experience
• JD preferred

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.

About DTCC

DTCC safeguards the financial markets and helps them run efficiently, in times of prosperity and crisis. We are uniquely positioned at the center of global trading activity, processing over 100 million financial transactions every day, pioneering industry-wide, post-trade solutions and maintaining multiple data and operating centers worldwide. From where we stand, we can anticipate the industry’s needs and we’re working to continually improve the world’s most resilient, secure and efficient market infrastructure. Our employees are driven to deliver innovative technologies that improve efficiency, lower cost and bring stability and certainty to the post-trade lifecycle.

Our work environment favors openness and gives people freedom to do their jobs well, by encouraging diverse opinions and emphasizing teamwork. When you join our team, you’ll have an opportunity to make meaningful contributions at a company that is recognized as a thought leader in both the financial services and technology industries. A DTCC career is more than a good way to earn a living. It’s the chance to make a difference at a company that’s truly one of a kind.

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.

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