Dtcc Digital Assets Tampa , FL 33602
Posted 2 weeks ago
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're 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.
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 a member of the Compliance team, The FCC Associate is responsible for reporting metrics on a regular and ad-hoc basis to senior management, reviewing and updating policies and procedures, responding to regulatory and law enforcements requests for data and documentation, resolving alerts, investigating cases, and other surveillance functions in support of DTCC's Transaction Monitoring ("TM") and Suspicious Activity Reporting ("SAR") programs, and to ensure DTCC's adherence to regulatory and compliance requirements as they relate to all lines of business and across all functional areas of DTCC subsidiaries.
Your Primary Responsibilities:
Transaction Monitoring
Reviews, researches and resolves alerts/cases generated by the Transaction Monitoring Case Management System in a timely manner
Makes case recommendations to the FCC Associate Director(s) and Director related to regulatory reporting requirements, such as Suspicious Activity Report filings
Maintains records of alert documentation to support actions taken to close or escalate alerts
Supports the FCC Associate Director(s) and Director with the design and development of new TM scenario rules, new investigative standards and practices, testing and implementation of TM systems and investigation support systems, investigations trend reporting and analysis, and the optimization of rules for existing TM scenarios
Performs ongoing analysis of active/retired scenarios and transactional activity for DTCC products/services
Drafts memos to document changes and additions to processes, systems and procedures
Assists in training of team members as well as other Compliance members and the business on investigative processes
Interacts with DTCC's business unit's management, Regulators, and Internal Audit
Performs other special projects or assignments, as requested on an ad-hoc basis
Regulatory Reporting
Takes ownership for analyzing data and generating reports to be distributed to senior management, the Board of Directors and the Audit Committee
Responds to requests for information from regulators, law enforcement and other banks and broker-dealers
Compiles supporting documentation pertaining to requests from internal Audit and external regulatory examiners
Maintains regulatory awareness and compliance and ensures adherence to risk-related policies and best practices
Performs FinCEN 314(a) screening and report any true matches to law enforcement
Serves as the DTCC FinCEN 314(b) information sharing point of contact to send 314(b) requests for information and respond to 314(b) requests from other financial institutions
Aligns risk and control processes into day to day responsibilities to monitor and mitigate risk; escalates appropriately
NOTE: The Primary Responsibilities of this role are not limited to the details above.
Qualifications:
Minimum 4 years of related experience
Bachelor's degree (preferred) or equivalent experience
Talents Needed for Success:
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.
Dtcc Digital Assets