Associate Principal, Internal Audit, Information Technology & Security

Posted 3 Hours Ago
Be an Early Applicant
2 Locations
Hybrid
105K-171K Annually
Senior level
Big Data • Cloud • Fintech • Information Technology • Financial Services
We clear and settle trades for the options industry.
The Role
Leads and supports risk-based IT and security audits, evaluating controls, regulatory compliance, operational and strategic risks, and technology implementations. Identifies root causes, recommends improvements, prepares audit reports, and presents findings to management. Applies IIA, AICPA, COBIT, and NIST standards while partnering with business leaders and maintaining audit quality. The role requires at least five years of IT and security audit experience and may involve cybersecurity reviews and internal audits.
Summary Generated by Built In
*****THIS POSITION IS NOT ELIGIBLE FOR VISA SPONSORSHIP*****

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 will support and lead independent assessments of OCC's Information Technology and Security environment, risk management, and other objectives as needed. The role is responsible for determining the sufficiency of management's controls and activities related to the management of regulatory, operational, and strategic risks and presenting recommendations for improvements to the engagement management and the auditee.


Primary Duties and Responsibilities:

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

Responsibilities will be aligned, but not limited, to three pillars:


Delivery

  • Support the team on delivery of assigned audits within the annual audit plan.  
  • Support the team confirming a professional auditee experience. 
  • Owning the audit quality, accuracy of results, and delivery in a timely manner.
  • Proactively identify regulatory, operational, and/or strategic risks to the organization and bring them to your engagement team.
  • Evaluate exceptions or inefficient practices for root causes and propose advice and recommendations for achievable solutions.
  • Leading audits related to organization changes including business requirements definitions, technology implementations (e.g.,  change management, security), engagement and alignment of change initiatives to business objectives.

Quality

  • Maintaining an understanding of policies, procedures, standards, and supporting technologies, and educating staff accordingly, to effectively identify potential risks and alternatives to mitigate risk exposure leveraging leading practices.
  • Ability to understand professional principles and standards (e.g., AICPA, IIA IPPF, COBIT, NIST CSF) and the relevancy to risk management and impact on policies and procedures. In addition, leveraging these principles and standards to test and evaluate corporate risk management processes and controls.
  • Keeping current on best practices and emerging risks within the financial services industry and making recommendations for improvements as necessary.

Leadership

  • Supporting effective relationships with business groups and leadership and partnering with management 

  

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.

Qualifications & Experience will be required, but not limited, to:

  • Ability to communicate clearly and effectively, both orally and in writing, including the ability to handle potentially sensitive situations and discussions.
  • Strong problem solving and analytical capabilities.
  • Demonstrated ability to gather, analyze, and evaluate facts, and prepare and present concise oral and written reports.
  • Ability to work independently or as part of a team, prioritizing multiple audit assignments to simultaneously complete each in a timely fashion.

Experience

  • Experience working in a complex, fast paced environment.
  • Experience using the principles, practices, and techniques involved in conducting audits in accordance with the requirements set forth in the International Standards for the Professional Practice of Internal Auditing published by the Institute of Internal Auditors (IIA).
  • [Preferred] Consulting and/or accounting firm experience.
  • [Preferred] Experience in Financial Services/Security Industry and working with regulations such as Regulation Systems Compliance and Integrity (Reg SCI).

  

Technical Skills:

  • [Required] Microsoft Office applications
  • [Preferred] Familiarity with security tools such as: CyberArk, Splunk, SailPoint
  • [Preferred] Familiarity with change management tools such as: ServiceNow, Jira, Confluence, GitHub
  • [Preferred] Familiarity with databases such as: Oracle, DB2, SQL
  • [Preferred] Familiarity with cloud based solutions: AWS, Workday
  • [Preferred] Proficiency using Archer or other audit or Governance Risk and Compliance (GRC) software

 

Education and/or Experience:

  • [Required] Bachelor’s degree (or equivalent) in Information Technology, Computer Science,  Computer Engineering, Accounting, Finance, Business Administration, or related field.
  • [Required] 5+ years of experience (audit-related) in conducting risk-based Information Technology and Security audits and projects, cyber security reviews, and internal audits.

Certificates or Licenses:

  • [Preferred] Certified Information Systems Auditor (CISA), Certified Information Systems Security Professional (CISSP), Certification in Risk Management Assurance (CRMA), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or equivalent.

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

$104,800.00 - $170,600.00

Incentive Range

8% to 15%

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

Skills Required

  • Clear and effective oral and written communication skills, including handling sensitive situations
  • Strong problem-solving and analytical capabilities
  • Ability to gather, analyze, and evaluate facts and prepare and present concise reports
  • Ability to work independently or as part of a team while prioritizing multiple audit assignments
  • Experience working in a complex, fast-paced environment
  • Experience conducting audits according to the International Standards for the Professional Practice of Internal Auditing
  • Consulting and/or accounting firm experience
  • Financial services or securities industry experience and familiarity with Regulation Systems Compliance and Integrity
  • Microsoft Office proficiency
  • Bachelor's degree or equivalent in Information Technology, Computer Science, Computer Engineering, Accounting, Finance, Business Administration, or a related field
  • 5+ years of audit-related experience conducting risk-based IT and security audits, cybersecurity reviews, and internal audits
  • Familiarity with security tools such as CyberArk, Splunk, and SailPoint
  • Familiarity with change management tools such as ServiceNow, Jira, Confluence, and GitHub
  • Familiarity with databases such as Oracle, DB2, and SQL
  • Familiarity with cloud-based solutions such as AWS and Workday
  • Proficiency using Archer or other audit or Governance, Risk, and Compliance software
  • CISA, CISSP, CRMA, CIA, CPA, or equivalent certification

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The Company
HQ: Chicago, IL
1,200 Employees
Year Founded: 1973

What We Do

As the foundation for secure markets, OCC is a customer-driven organization that delivers world-class Risk Management, Clearing, and Settlement Services for a sophisticated mix of financial products that includes standard options, stock loans, and futures contracts.

Why Work With Us

We're bound together by values and behaviors that shape the way we work and live, from team projects to after-hours events and to making a difference in our communities. OCC colleagues thrive in an atmosphere of intellectual curiosity, creative problem-solving and effective interaction.

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The Options Clearing Corporation (OCC) Teams

The Options Clearing Corporation (OCC) Offices

Hybrid Workspace

Employees engage in a combination of remote and on-site work.

A hybrid work environment, up to 2 days per week of remote work

Typical time on-site: 3 days a week
Company Office Image
HQChicago, IL
Company Office Image
Dallas, TX
Company Office Image
Washington, DC
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