Careers ☰ Ethics and Compliance Director New191585Requisition #About this Opportunity
Compliance is looking for an Ethics and Compliance Director to lead the global Employee Compliance function at DTCC. The candidate will primarily be responsible for providing advice, processes and tools to enable employees to comply with obligations related to personal investment activities, lobbying disclosures, gifts & entertainment, conflicts of interest/outside business activities, and related disclosures and attestations. In this role, the candidate will also be responsible for driving enhancements to these programs through increased automation, use of data analytics and application of industry-recognized practices.
What You'll Do
Lead a team of Compliance personnel responsible for managing the Employee Compliance program and monitoring for compliance with policies related to insider trading prevention, conflicts of interest/outside business activities, gifts and entertainment activities, and federal lobbying activities.
Liaise with technology stakeholders to redesign and upgrade existing policies and practices, including build out of new process, automation of manual controls, and expansion of monitoring activities using data analytics.
Remain informed of relevant business developments and industry trends and proactively drive enhancements to Employee Compliance activities, training, and awareness programs.
Provide advice and guidance to employees regarding compliance with applicable regulatory requirements and internal policies.
Manage the timely and accurate provision of management information related to the Employee Compliance program to Compliance, Board, and Senior Management stakeholders.
Mitigate risk by following established procedures, spotting key errors and demonstrating strong ethical behavior.
Sounds Like You?
Minimum of 10 years of related experience
Bachelor's degree preferred with Masters or equivalent experience
Bachelors or advanced degree in a business-oriented discipline, such as finance, operations or information systems
10+ years of financial services industry experience in a self-regulatory organization, broker-dealer, banking entity, or investment bank
Experience leading or managing an employee compliance program, compliance/risk & control monitoring or related operations function
Comprehensive knowledge of equities and fixed income products
Experience using analytics tools or computational methods applied to a monitoring function
Who We Are
With over 40 years of experience, DTCC is the premier post-trade market infrastructure for the global financial services industry. From our operating facilities and data centers around the world, we automate, centralize, and standardize the processing of financial transactions across the trade lifecycle, mitigate risk for thousands of institutions worldwide and protect the stability of the global financial system. Were also leaders in the digital transformation of post-trade processing, leveraging the latest fintech innovations to meet the evolving needs of our clients to reduce costs and enhance efficiencies.
At DTCC we value 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. For more information, go to or connect with us on , , and
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