The Depository Trust & Clearing Corporation (DTCC) · 19 hours ago
Technology Compliance Associate Director
Jersey City, NJ
Full-time
Hybrid
Mid, Senior Level, Lead/Staff
7+ years expThe Depository Trust & Clearing Corporation (DTCC) is at the forefront of innovation in the financial markets and is seeking a Technology Compliance Associate Director. This role involves supporting the identification and development of technology controls to ensure compliance with global laws and regulations, while also monitoring policies and procedures to address compliance gaps.
FinanceFinancial ExchangesFinancial ServicesInformation Technology
Responsibilities
Develop and maintain a comprehensive understanding of global laws and regulations applicable to technology (e.g., Reg SCI, CCAS and DORA) as well as requirements and resulting controls that enable compliance
Support the facilitation of impact assessments to evaluate new or changing laws and regulations and readiness for compliance
Evaluate new initiatives and business ventures to identify and evaluate compliance requirements and readiness
Evaluate policies and procedures to identify and address any compliance gaps or inconsistencies
Perform risk-based compliance monitoring to identify risk and control trends in related to compliance with regulatory requirements
Conduct compliance testing to evaluate the effectiveness of compliance enabling controls
Work with aligned business areas to develop action plans for development and enhancement of compliance controls and provide ongoing support and monitoring of the implementation of those controls
Effectively challenge the business’ assessment of the control environment and documented controls, based on analysis of regulatory issues, metric performance and internally identified issues
Support key partners and aligned business areas in regulatory examinations, inspections and inquiries
Foster a risk management culture through implementation and demonstration of processes and procedures which identify and mitigate risk
Mitigate risk by following established procedures and monitoring controls, spotting key errors and demonstrating strong ethical behavior
Qualification
Required
7+ years experience; previous experience in compliance, legal, risk management or auditing related to technology is preferred
Bachelor's degree required; advanced degree and/or certification a plus (e.g., blockchain/distributed ledger technology or Artificial Intelligence)
Knowledge of financial services, particularly in the securities markets
Excellent listening and communication (oral and written) skills to effectively interface with all levels of leadership
Experience working at or with financial services regulators (SEC, FRB, NYSDFS, CFTC, ESMA, etc.) is highly desirable
Knowledge of basic compliance principles and standards, including industry protocols and compliance controls
Ability to prioritize across varying functions
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.
Company
The Depository Trust & Clearing Corporation (DTCC)
With over 50 years of experience, DTCC is the premier post-trade market infrastructure for the global financial services industry.
5001-10000 employees
H1B Sponsorship
The Depository Trust & Clearing Corporation (DTCC) has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (119)
2024 (59)
2023 (74)
2022 (84)
2021 (36)
2020 (77)
Funding
Current Stage
Late StageLeadership Team
Frank La Salla
President, CEO and Director of DTCC
E
Edward Cortes
Executive Director
Recent News
2026-01-16
2026-01-09
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