Compliance Testing Associate

Are you ready to make an impact at DTCC? 

Do you want to work on innovative projects, collaborate with a dynamic and supportive team, and receive investment in your professional development? At DTCC, we are at the forefront of innovation in the financial markets. We are committed to helping our employees grow and succeed. We believe that you have the skills and drive to make a real impact. We foster a thriving internal community and are committed to creating a workplace that looks like the world that we serve. 

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.

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). 

 

The Impact you will have in this role:

Being an Associate on the Compliance Testing team, you’ll be responsible for completing testing projects. The Compliance Testing Associate helps management drive testing planning, fieldwork, and reporting. The primary measure of success is identifying meaningful potential issues about the design and effectiveness of controls, while creating reliable documentation to support their work. 
 

Your Primary Responsibilities:

•    Completes test plans to assess the effectiveness of the compliance control environment 
•    Participates in identifying and evaluating compliance risks present at DTCC 
•    Identifies control deficiencies and assists the business with identifying sustainable corrective actions
•    Documents work clearly and concisely and prepares well-written Compliance test reports
•    Identifies and supports enhancements to processes within the function
•    Performs other special projects or assignments, as assigned
•    Understands and exhibits behaviors and competencies that demonstrate a risk management attitude
•    Supports alignment of the function with the overall compliance strategy 
•    Takes an active role in one’s own career development

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

Qualifications:

•    Minimum of 2 years of related experience
•    Bachelor's degree preferred or equivalent experience

Talents Needed for Success:
•    Ability to identify and assess risk and recommend controls to mitigate risk, with guidance
•    Ability to complete control testing, with guidance
•    Some knowledge of compliance principles and standards, including industry best practices and compliance controls
 

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.