Compliance Associate
DTCC
- Jersey City, NJ
- Permanent
- Full-time
- 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).
- Review and process disclosed personal securities investment accounts
- Support the monitoring and review of employee and contingent worker personal securities trading activity, as needed.
- Assist in the monitoring and review of employee and contingent worker electronic communications for violations of the DTCC Code of Conduct.
- Assist in management of team mailbox and hotline, including responding to staff inquiries
- Support the Employee Compliance Director and Associate Director as needed.
- Participate in meetings with employees, including senior management, under supervision.
- Perform other projects or assignments as needed.
- Bachelor's degree preferred or equivalent experience
- Minimum of 2 years or more years of financial services industry, preferably in documentation roles, or related experience in compliance, legal or regulatory functions.
- Fast-learner and attention to detail
- Experience at a broker-dealer or investment advisor firm within compliance or operations
- Strong analytical skills and attention to details
- Ability to multi-task and to enforce to established deadlines while working in a fast-paced environment required
- Strong proficiency with PC based applications including Excel, SharePoint, Word, and PowerPoint