Regulatory Relations Associate Director
| Company | DTCC |
|---|---|
| Location | New York, NY, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Senior |
Requirements
- Minimum of 5 years of related experience
- Bachelor’s degree preferred or equivalent experience
- Understanding of global regulatory authorities (including for example, European Securities and Markets Authority (“ESMA”), Financial Conduct Authority (“FCA”), and/or Monetary Authority of Singapore (“MAS”))
- Derivatives experience is valued
Responsibilities
- Serve as an interface with DTCC’s domestic and global regulators
- Assist in processing regulatory requests for information by gathering information from personnel at all levels from various departments across DTCC.
- Review responses for timeliness and responsiveness, track follow-up items, and facilitate the submission of responsive information to regulators
- Coordinate all aspects of physical onsite examinations including the coordination of meetings, and the review and submission of documentation to regulators
- Facilitate meetings with regulatory agencies and management, including preparing key messages to present when working with regulators.
- Produce summaries, reports, and other written work product for internal dissemination.
- Contribute to internal management reporting with respect to examinations, meetings, and other ad-hoc requests, as necessary
- Mitigates risk by following established procedures and monitoring controls, spotting key errors and demonstrating strong ethical behavior.
- Generally assist the DTCC Regulatory Relations leadership team, as necessary
Preferred Qualifications
- Derivatives experience is valued