Compliance Testing Associate

Compliance Testing Associate

DTCC 4.8

( ) Multiple Locations Why you should apply for a job to

DTCC :

Ranked as one of the 4.8/5 in overall job satisfaction 4.9/5 in supportive management 95% say women are treated fairly and equally to men 98% would recommend this company to other women 100% say the CEO supports gender diversity Ratings are based on anonymous reviews by Fairygodboss members. See all reviews 100% rating on the Corporate Equality Index and was recognized as one of the Best Places to Work for LGBTQ Equality. Flexible + Hybrid work options available Corporate Social Responsibility initiative focuses on charitable giving and volunteerism. # 213628 Position summary nd 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 Compliance testing projects. The Compliance Testing Associate participates in the test planning, the execution of fieldwork, and test reporting. The primary measure of success is identifying impactful issues in the design and effectiveness of controls, while creating reliable documentation to support the work performed.

Your Primary Responsibilities:

Participates in identifying and evaluation compliance risk present at DTCC by performing testing to assess the effectiveness of the compliance control environment Identify control deficiencies and work with the business to identify sustainable corrective actions Identify enhancement opportunities to processes with the areas tested Document work clearly and concisely and prepare well-written Compliance test reports Perform other special projects or assignments, as assigned Understanding compliance risk and exhibiting behaviors and competencies that demonstrate a risk management attitude Supports alignment of the testing 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 Ability to effectively interface and communicate with various levels of management Ability to work collaboratively in a dynamic, global team environment 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. About Us With over 50 years of experience, DTCC is the premier post-trade market infrastructure for the global financial services industry. From 20 locations around the world, DTCC, through its subsidiaries, automates, centralizes, and standardizes the processing of financial transactions, mitigating risk, increasing transparency, enhancing performance and driving efficiency for thousands of broker/dealers, custodian banks and asset managers. Industry owned and governed, the firm innovates purposefully, simplifying the complexities of clearing, settlement, asset servicing, transaction processing, trade reporting and data services across asset classes, bringing enhanced resilience and soundness to existing financial markets while advancing the digital asset ecosystem. In 2024, DTCC's subsidiaries processed securities transactions valued at U.S. $3.7 quadrillion and its depository subsidiary provided custody and asset servicing for securities issues from over 150 countries and territories valued at U.S. $99 trillion. DTCC's Global Trade Repository service, through locally registered, licensed, or approved trade repositories, processes more than 25 billion messages annually. To learn more, please visit us at https://www.dtcc.com or connect with us on LinkedIn , X , YouTube , Facebook and Instagram . DTCC proudly supports Flexible Work Arrangements favoring 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. Learn more about Clearance and Settlement by clicking here . About the Team 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. The Compliance Department is dedicated to protecting DTCC against risks of non-compliance with applicable laws and regulatory matters affecting DTCC and its subsidiaries, including evaluating and responding to new and changing federal, state, local and administrative regulations. Why you should apply for a job to

DTCC :

Ranked as one of the 4.8/5 in overall job satisfaction 4.9/5 in supportive management 95% say women are treated fairly and equally to men 98% would recommend this company to other women 100% say the CEO supports gender diversity Ratings are based on anonymous reviews by Fairygodboss members. See all reviews 100% rating on the Corporate Equality Index and was recognized as one of the Best Places to Work for LGBTQ Equality. Flexible + Hybrid work options available Corporate Social Responsibility initiative focuses on charitable giving and volunteerism.