Employee Compliance Senior Associate

Job Description

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 are 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.

The General Counsel's Office is a valued, trusted and responsive partner within DTCC. The team promotes and protects the best interests of the DTCC family of companies by creating and facilitating solutions and providing guidance on legal and regulatory matters.

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:

Compliance is seeking an Employee Compliance Senior Associate to support the global Employee Compliance function at DTCC. The candidate will primarily be responsible for monitoring and researching personal investment activities and reviewing gifts & entertainment and conflicts of interest/outside business activity disclosures. In this role, the candidate will also work on enhancements to these programs through automation, use of data analytics and application of industry-recognized practices.

Your Primary Responsibilities:

• Perform analysis and lead investigations related to potential employee non-compliance with employee trade monitoring and gifts, entertainment and conflicts of interest policies.
• Review employee compliance system alerts, pre-approval requests, and disclosures and provide written recommended actions to management based on research.
• Oversee team correspondence with employees regarding compliance with applicable regulatory requirements and internal policies.
• Engage with brokerage firms to conduct account research and add accounts to electronic feeds.
• Manage multiple, simultaneous projects to support technology enhancements and business initiatives under limited supervision.
• Update team procedures and job aids to keep them aligned to current processes and controls.
• Engage with various business areas to promote awareness of employee compliance policies and to resolve investigations.
• Perform testing of system enhancements against business requirements and identify issues and areas for improvement.
• Mitigate risk by following established procedures, escalating errors to management timely, and demonstrating strong ethical behavior.
• Maintain awareness of applicable regulatory requirements, industry trends, and best practices through ongoing education and training.
• Aligns risk and control processes into day to day responsibilities to monitor and mitigate risk; escalates appropriately

Qualifications:

• Minimum of 6 years of related experience
• Bachelor's degree preferred or equivalent experience

Talents Needed for Success:

• Strong analytical/investigative skills and knowledge.
• Excellent written and verbal communication skills.
• Meticulous organizational skills, strong attention to detail, and demonstrated ability to follow up and drive deliverables to closure.
• Experience using PC-based applications including Word, PowerPoint and Excel.

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.

Client-provided location(s): Tampa, FL

Job ID: DTCC-213608

Employment Type: FULL_TIME

Posted: 2026-05-13T20:11:50