The DTCC Learning Certification program establishes standards of competency for customers in using DTCC services like settlement, clearance, and securities processing. The multi-step certification process involves an organizational needs assessment, self-study, coaching, examinations, and provides benefits like career development, succession planning, and expertise in DTCC processes. Certification can help firms with issues like unnecessary fees or lack of in-house knowledge. Both organizations and individuals gain leadership opportunities through the customized certification solutions.

1. DTCC Learning Certification Level 1
The Process
In 2006, the DTCC Learning group launched a certification program for customers, which established standards Our approach to certification starts with an assessment of our customer’s organizational needs, learning
of competency in the use of services offered by DTCC’s subsidiaries. Over the years, we have developed an culture, objectives, and value benefits.
understanding and partnership with our customers, which have extended the program’s value into areas of
continuous learning and business solutions.
Overview “Standardized credentials enable Fifth Third to (Standard Track) (Leadership Track)
build out its current training curriculum and provide
DTCC Learning Certification is a credential that
expanded training across functional areas so that
documents the achievement of a standard of Supervisor
employees have more of a big picture of the various Individual Step1 Manager Step 1 Executive Step 1
excellence in transaction processing through our HR/Training
securities processing areas. These skilled employees Discovery meeting w/ Discovery meetings w/ Discovery meetings w/
products and services: direct supervisor or internal organization internal organization
can move more easily among functional areas, make management stake-holders & Determine stake-holders
:: Settlement future contributions to processing efficiencies and Certification Candidates & Review Certification
:: Clearance adapt to changes in the industry. Improving the :: Senior management
Candidates
:: Senior management
:: Securities Processing knowledge base of our employees enhances the :: HR/training :: HR/training
DTCC Certification Level1
:: Corporate Actions :: Employee (s)
quality of service delivery to our customers.” :: Employee(s)
This credential offers you and your team the opportunity (Optional)
to improve performance, increase efficiency and gain a - Diana Willen, Vice President and Director of Meet with Step 2
Meet with Step 2(optional)
Self-Assessment Step 2 DTCC L Collaboration w/DTCC
competitive advantage in the marketplace. Securities Services at Fifth Third Bank Individual takes Learning group to
DTCC L Meet with DTCC Learning to
self-assessment determine needs and
determine needs
evaluation :: ROI Process
:: ROI Process
(productivity)
Adding Value through Continuous Learning (productivity)
:: Course road map
:: Course road map
Week 1
As your business partner we are committed to providing you with continuous learning solutions. Firms who
have DTCC Learning Certified Specialists in their shops include:
Meet with Step 3
:: Bank of New York :: David Lerner Associates :: Fifth Third Bank :: Goldman Sachs DTCC L Meet w/ the DTCC
Learning Group
:: Pershing, LLC :: Primevest :: Southwest Securities :: US Bank Certification
Consultant
:: Merrill Lynch :: Morgan Stanley :: Pershing, LLC :: Wells Fargo
:: Sterne, Agee & Leach, Inc :: Meisrow Securities :: TradeStation :: Lehman Brothers
Complete Step 4 Letters of Step 3 Letters of Step 3
Application Complete application Recommendation Provide letters of Recommendation Provide letters
recommendations of recommendations
Organization and Individual Benefits (Supervisor Manager (Executive)
HR/Training)
We understand that each organization, group and individual will have different needs and interests in varying
priorities. Our certification program offers customized solutions tailored to address your DTCC needs and
business issues:
Self-study Step 5 Progress Step 4 Candidate Step 4
:: Higher fees due to unnecessary inquiries or processing errors & coaching Program participation Reports Progress meeting with One-One Conduct feedback
(E-learning) & DTCC Learning Meetings meetings with individual
:: Business continuity and succession planning coaching sessions with Leadership Certification
:: Lack of in-house expertise in DTCC subsidiary processes
Week 2-5
DTCC Learning Candidates
:: Knowledge assessment Certification Consultant
The certification program provides an organization, management and individuals with leadership and
professional development opportunities: Attend Step 6
Progress Step 5
Prep Webinar Attend a Prep Webinar
Reports Progress report update
conducted by DTCC
meetings with internal
Learning Certification
manager (s), DTCC Learning
Firms use certification to Managers use certification to: Individuals use certification to: Consultant
:: establish criteria for :: identify and reward high :: differentiate themselves in
differentiating pay scales potential employees their fields
Receive
For more information about DTCC Learning,
Week 6
:: increase their leadership :: expand career opportunities :: increase their value to the firm Take Exam Step 7
Certification
bench strength for their employees Individual takes exam
& contact us at 1.888.258.6393
Report
www.dtcc.com/products/training
email: training_administrator@dtcc.com
1 For more information on DTCC visit www.dtcc. 2

2. The Depository Trust & Clearing Corporation
55 Water Street
New York, NY 10041
(212) 855-1000
www.dtcc.com
www.dtcc.com/products/training