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| Job Posting Detail |
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| Job Title |
Compliance Investigator |
| Ref Code |
4076MUT |
| Last Updated |
12/11/2009 10:04:00 PM |
| Description |
Department Function:
The Office of Corporate and Regulatory Compliance is responsible for compliance with legal and regulatory matters affecting DTCC and its subsidiaries, including:
• Evaluating and responding to new and changing federal, state, local and administrative regulations
• Interacting with regulators and other in response to relevant inquiries and requests
• Designing and implementing appropriate training and awareness programs for DTCC business areas
• Monitoring compliance with DTCC's internal policies and procedures
• Evaluating compliance programs established by DTCC and its subsidiaries
• Guiding DTCC business areas in the development of their procedures to comply with DTCC policies
• Acting as a reference point for business areas that need help resolving legal and regulatory issues.
Position Summary:
The Compliance Investigator role within the OCRC is responsible for investigating cases in support of the DTCC's Suspicious Activity Reposting program 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 the various subsidiary companies.
Principal Responsibilities:
• Investigates, researches and resolves compliance cases generated by the Transaction Monitoring system, Employees or other DTCC Compliance programs such as insider trading abuses and ethics violations.
• Interfaces with various DTCC business units and participants to solicit information needed to investigate cases.
• Maintains updated status of case load and supports department case reporting requirements.
• Participates in regular VP and Chief Compliance Officer reviews of caseload and presents key findings, next steps and any issues associated with cases assigned.
• Maintains case records and support documentation.
• Makes case recommendations to the Director of Compliance Investigations related to regulatory reporting requirements such as Suspicious Activity Report filings.
• Supports the Compliance Investigations director with the design and development of new investigative standards and practices, the testing and implementation of investigation support systems, and investigations trend reporting and analysis.
• Assists in training of team members as well as other OCRC members and the business on investigative processes.
JOB REQUIREMENTS:
• Interacts with DTCC's business area management, regulators, and internal audit.
• Performs other special projects or assignments, as requested.
Experience:
4 plus years of financial services industry experience in compliance, legal, or regulatory functions
Knowledge/Skills:
• Strong investigative skills and knowledge
• Ability to interface with various levels of management at DTCC, Participants and Applicants
• Good understanding of Compliance investigative process and techniques
• Superior knowledge of and proficiency with using mainframe and PC-based applications
• Ability to manage multiple priorities across varying functions
• Proven ability to synthesize detail and information related to day-to-day operations into the presentation of key points and trends
• Excellent communication, organizational, and follow-up skills
• Familiarity with securities laws and regulations
• Knowledge of AML laws and regulatory requirements
• Familiarity with DTCC operations
Education, Training or Certification:
• College degree or equivalent professional experience
• ACAMS certification a plus
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| Qualifications |
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| Company Description |
To apply for this position, please copy and paste the following link into your browser address bar:
http://dtcc.contacthr.com/14720726
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Job Category
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Other
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Location
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New York
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