Associate Principal, GRC Services & Strategy

To be considered for this position, applications and resumes are accepted only through our careers site by directly applying to the posted job. We do not accept unsolicited resumes or sales solicitations from staffing agencies. Any OCC employee wishing to submit a referral must do so through their Workday account. Any resume submitted outside of an active job posting will not be considered for employment.

What You'll Do:

This role serves as an integral part of the governance, risk management, and compliance (GRC) team, providing comprehensive support across multiple GRC capabilities including change management and strategy, exam management, remediation, and reporting functions. Through collaboration with the second and third lines of defense and external partners, this position develops and leads initiatives to implement an efficient and effective control infrastructure while guiding and influencing the professional development of other team members.
 

Primary Duties and Responsibilities:

To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.

Key Responsibilities by Capability:

Remediation Management

• Drive remediation of findings, shift-left opportunities, and observations through collaboration with departments and second and third lines of defense

• Develop and implement GRC standardized, risk-based remediation processes

• Track milestones and establish early warning systems for at-risk remediation activities

• Manage evidence collection, validation, and documentation to meet quality standards

• Create and maintain centralized repositories for findings and remediation documentation

• Develop metrics and reporting to measure remediation effectiveness and efficiency

• Advise departments on remediation-related matters

• Manage the findings and remediation lifecycle to ensure satisfactory deliverables, root cause is addressed, risk mitigation and on-time achievement of milestones

Change Management & Strategy

• Drive end-to-end GRC change management processes across the organization

• Develop and implement GRC standardized change management frameworks and risk-based prioritization

• Facilitate strategic planning aligned with organizational objectives

• Conduct process reviews to identify optimization and automation opportunities

• Maintain accurate documentation mapping in Archer and PolicyTech systems

• Manage Policy Governance Policy (PGP) reviews and approvals

• Execute Management Self-Testing and implement remediation plans for control deficiencies

• Assess regulatory priorities and evaluate organizational readiness

• Perform comprehensive reviews of related policies, procedures, job aids, and controls to demonstrate cohesiveness and adherence to the Policy Governance Policy (PGP) and regulatory obligations

Cross-Functional

• Assist and mentor team members to support the expansion and evaluation of control infrastructure

• Influence timelines and expectations amongst staff

• Collaborate with second and third lines of defense and external partners

• Proactively communicate best practices and seek opportunities to increase efficiency in current business processes

• Create and manage team training materials and development content as needed to support the growth of junior team members

Supervisory Responsibilities:

• None

Qualifications:

The requirements listed are representative of the knowledge, skill, and/or ability required.  Reasonable accommodations may be made to enable individuals with disabilities to perform the primary functions.

• Excellent time management and organizational skills to manage multiple projects and deadlines simultaneously at various priority levels

• Ability to work independently, collaboratively, cross-functionally and with various levels of seniority

• Strong administrative and interpersonal skills, including excellent written and oral communication skills

• Experience providing value-added recommendations to improve and optimize inefficiencies

• Demonstrate initiative and be a self-starter

• Strong attention to detail and analytical skills including data analytics and reporting

• Exhibit flexibility and adaptability when faced with new challenges and shifting priorities

• Experience with internal controls, risk assessment strategies, audit techniques, and project management

Technical Skills:

• Microsoft Office suite, with emphasis on Excel, PowerPoint, and Word

• Experience with Governance and Risk & Compliance Software such as Archer

• Experience with Jira/Confluence

• Experience with a Learning Management System such as Workday Learning

Education and/or Experience:

• Bachelor's degree (or equivalent)

• 5+ years of experience

• Experience responding to and interacting with regulatory agencies

• Experience with exam management

• Experience with the development of policies and procedures

• Compliance experience including executing a compliance or controls testing program

• Knowledge of rules and regulations for which OCC is subject to adherence

• Strong collaboration, analytical and verbal/written communication skills

Certificates or Licenses:

• None Required

About Us

The Options Clearing Corporation (OCC) is the world's largest equity derivatives clearing organization. Founded in 1973, OCC is dedicated to promoting stability and market integrity by delivering clearing and settlement services for options, futures and securities lending transactions. As a Systemically Important Financial Market Utility (SIFMU), OCC operates under the jurisdiction of the U.S. Securities and Exchange Commission (SEC), the U.S. Commodity Futures Trading Commission (CFTC), and the Board of Governors of the Federal Reserve System. OCC has more than 100 clearing members and provides central counterparty (CCP) clearing and settlement services to 19 exchanges and trading platforms. More information about OCC is available at www.theocc.com.

Benefits

A highly collaborative and supportive environment developed to encourage work-life balance and employee wellness. Some of these components include:

• A hybrid work environment, up to 2 days per week of remote work
• Tuition Reimbursement to support your continued education
• Student Loan Repayment Assistance
• Technology Stipend allowing you to use the device of your choice to connect to our network while working remotely
• Generous PTO and Parental leave
• 401k Employer Match
• Competitive health benefits including medical, dental and vision

Visit https://www.theocc.com/careers/thriving-together for more information.

Compensation

• The salary range listed for any given position is exclusive of fringe benefits and potential bonuses. If hired at OCC, your final base salary compensation will be determined by factors such as skills, experience and/or education.
• In addition, we believe in the importance of pay equity and consider internal equity of our current team members as part of any final offer.
• We typically do not hire at the maximum of the range in order to allow for future and continued salary growth. We also offer a substantial benefits package as noted on www.theocc.com/careers
• All employees may be eligible for a discretionary bonus. Discretionary bonuses are based on various factors, including, but not limited to, company and individual performance and are not guaranteed.

Salary Range

Incentive Range

This position is eligible for an annual discretionary incentive compensation award, for which the target range is listed above (see Incentive Range). The amount of such award, if any, will be based on various factors, including without limitation, both individual and company performance.

Step 1
When you find a position you're interested in, click the 'Apply' button. Please complete the application and attach your resume.  

Step 2
You will receive an email notification to confirm that we've received your application.

Step 3
If you are called in for an interview, a representative from OCC will contact you to set up a date, time, and location. 

For more information about OCC, please click here.

OCC is an Equal Opportunity Employer