|
|
| Job Title |
Compliance Analyst / Process Specialist |
| Ref Code |
4170MUT |
| Last Updated |
7/2/2010 |
Description
This role for the Education Center monitors and ensures compliance with and adherence to, as well as continuous improvement of, mandatory and regulated training programs, practices, procedures and related documentation, as mandated by various regulatory bodies and process certifications (e.r., AML, compliance related topics, CMMI, Information Security and Privacy). This role maintains a high-level view of compliance education requirements and initiatives, specific to both internal and external to DTCC, and ensures approaches and solutions are comprehensive and strategic in terms of high-level design, implementation and rollout timeframes.
All mandatory initiatives (e.g., AML, non-AML Compliance, CMMI, Information Security and Privacy, Preventing Workplace Harassment, Safety Awareness) require robustly documented, consistently managed, trackable and auditable rollouts that adhere to well-defined training processes and procedures. Education on these topics is deployed utilizing a variety of media and includes programs that are mandatory for all staff (tracked at initial rollout as well as ongoing for new staff), as well as required programs for specific groups (tracked at initial rollout as well as for new staff or staff that transfers into specific groups). This role manages these rollouts to ensure they are in compliance with stated policies and procedures.
The Education Center must evidence both departmental and organizational compliance related to these regulated initiatives. Internal DTCC groups (OCRC, Internal Audit, IT process governance) and external regulators and consultants, audit and assess compliance to training policies and procedures on an ongoing basis, several times per year. This role manages the preparation, coordination and responses for these audits, and manages appropriate continuous improvement efforts (e.g., automation, process enhancements) based on the results of these audits and assessments.
Principle Responsibilities: ?#128;
Working within the Education Center PMO, and with EC management/staff, and key stakeholders in the organization, the incumbent has overall accountability for EC process governance, with particular emphasis on regulatory and certification mandates.
Works with internal stakeholders to understand internal and external compliance-related issues and policies, and their impact on DTCC's business and plans for solutions accordingly
JOB REQUIREMENTS:
EC interface between stakeholders and EC solution development team to design and implement comprehensive approaches and high-level solutions
Understands, continuously improves/streamlines, and ensures departmental adherence to documented processes and procedures
Coordinates follow-up with business areas, documenting recommendations, and ensuring compliance with final recommendations
Continuously improves and enforces CMMI and AML documentation standards for all EC activities/products
Prepares for and assists in presenting within various internal/external audits, appraisals and assessments as appropriate.
Ownership/accountability for responding to findings and following up through closure.
Working closely with key individuals across the enterprise e.g., OCRC, ADM, CISO, Audit, HR
Preparing status reports and escalating core issues to the project Steering Committees for resolution
Interfaces with and runs cross divisional meetings
Monitors EC/departmental compliance with procedures and establishes controls/checkpoints for ensuring/maintaining adherence.
Assists in/recommends solutions for the overall evaluation of training program effectiveness and continuous improvement, using a variety of metrics and tools such as, BBS, program evaluations, Just in Time Usage.
Manages and maintains all EC documentation related to Business Continuity Planning (BCP), as the EC BCP Coordinator
AML Training
Responsible for the adherence to, auditablity, and continuous improvement of AML-driven training programs, policies and procedures
Oversight of entire mandatory process flow
Oversight of the AML Action Items
Provides updates to the AML Committee and AMLOC as needed
Manage AML-related Policy requirements (storage of materials, record-keeping, etc.)
Ensure all EC artifacts and processes are audit-ready
Manage the annual audits performed by regulators and Internal Audit
Working with EC management team, respond to audit findings
Maintain the EC Policy and Procedure documents
Manage AML-related mandatory and required supplemental training rollouts
|
Qualifications
|
Company Description
To apply for this position, please copy and paste the following link into your browser address bar:
http://dtcc.contacthr.com/16341564
|
|
|
| Job Category |
Other |
|
|
| Location |
New York |
| |
|
| To apply for this job, please follow the
instructions contained in the listing. If links are broken, please contact us. |
Send this job to a friend, by clicking here
|
|