Senior Paralegal – General Counsel’s Office, Self-Regulatory Organization

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:

The Associate Director, Senior Paralegal in DTCC's General Counsel's Office provides legal and administrative support to attorneys responsible for the regulatory oversight of DTCC's three registered clearing agencies – DTC, NSCC, and FICC. DTCC operates at the center of the securities markets, and this role helps the legal team meet supervisory obligations that support the safety, soundness, and efficiency of critical market infrastructure. The paralegal coordinates and tracks regulatory filings, rule changes, examinations, both ad hoc and regular regulatory reporting, and other information requests to ensure submissions are accurate, complete, and delivered on time. The position maintains well-organized, audit-ready regulatory records and correspondence, including oversight calendars, matter trackers, and supporting documentation. The paralegal also assists with drafting, formatting, and assembling routine regulatory communications, reports, and other materials, partnering with a team of regulatory attorneys and key internal stakeholders. Strong attention to detail, sound judgment, discretion, positive attitude and the ability to manage multiple priorities in a fast-paced, highly regulated environment are essential for success in the role.

Your Primary Responsibilities:

• Format, proofread, and cite-check regulatory rule filings, communications, memoranda, and presentations for attorney review.
• Coordinate and track regulatory rule filings, ad hoc and regular regulatory reporting, and related submissions for DTCC’s regulated entities and other SEC regulated entities.
• Maintain regulatory calendars, deadline trackers, and lists; monitor status across matters;
• Proactively flag upcoming milestones, risks, and dependencies.
• Organize and maintain audit-ready regulatory records, correspondence, rulebooks, and supporting documentation in designated repositories in accordance with retention and confidentiality requirements.
• Review, evaluate, and respond to membership submissions for DTCC’s regulated entities and communicate with senior attorneys. Assist attorneys with matter intake and management by opening files, updating matter logs, preparing status reports, and ensuring key decisions and deliverables are documented.
• Handle sensitive information with discretion and ensure adherence to internal policies, regulatory expectations, and recordkeeping standards across all assignments.
• Mitigates risk by following established procedures and monitoring controls, spotting key errors and demonstrating strong ethical behavior.

**NOTE: The Primary Responsibilities of this role are not limited to the details above.**

Qualifications:

• Minimum of 8 years of related experience
• Bachelor's degree preferred or equivalent experience

Talents Needed for Success:

• Demonstrated paralegal experience supporting a team of attorneys in a regulated financial services or securities markets environment, preferably with regulatory oversight or examination support.
• Strong knowledge of, or ability to quickly learn, the regulatory framework applicable to clearing agencies (e.g., SEC requirements) and related governance and recordkeeping expectations.
• Exceptional attention to detail and quality control, with proven ability to draft, proofread, format, and manage versions of policies, procedures, formal filings, and regulatory communications.
• Proven organizational skills, including the ability to maintain audit-ready files, trackers, calendars, and multiple deadlines in a fast-paced environment.
• Strong written and verbal communication skills, with the ability to effectively coordinate with senior counsel, compliance, risk, operations, and business stakeholders.

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.

With over 50 years of experience, DTCC is the premier post-trade market infrastructure for the global financial services industry. From 20 locations around the world, DTCC, through its subsidiaries, automates, centralizes, and standardizes the processing of financial transactions, mitigating risk, increasing transparency, enhancing performance and driving efficiency for thousands of broker/dealers, custodian banks and asset managers. Industry owned and governed, the firm innovates purposefully, simplifying the complexities of clearing, settlement, asset servicing, transaction processing, trade reporting and data services across asset classes, bringing enhanced resilience and soundness to existing financial markets while advancing the digital asset ecosystem. In 2024, DTCC’s subsidiaries processed securities transactions valued at U.S. $3.7 quadrillion and its depository subsidiary provided custody and asset servicing for securities issues from over 150 countries and territories valued at U.S. $99 trillion. DTCC’s Global Trade Repository service, through locally registered, licensed, or approved trade repositories, processes more than 25 billion messages annually. To learn more, please visit us at www.dtcc.com or connect with us on LinkedIn, X, YouTube, Facebook and Instagram.

The Legal Department, a unit of DTCC's General Counsel's Office, is responsible for performing legal and regulatory functions for DTCC and its subsidiaries.