Senior Associate, Compliance Monitoring

What You'll Do:
This role will report to the Manager, Compliance Monitoring and will provide operational and minor technical solutions for the programs that oversee compliance with OCC’s regulatory and internal control environment. This includes, but is not limited to, facilitating the management self-testing program, management self-testing quality assurance, annual attestations, and reviewing monitoring and surveillance tools.

Primary Duties and Responsibilities:

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

• Facilitate the management self-testing program, including drafting of test plans, launching campaigns, and reporting on program

• Perform tests of controls for design and operational effectiveness

• Facilitate the company’s attestation program

• Build workflows that enable data extraction, processing, and conversion to standardized applications such as Tableau and Microsoft Excel.

• Assist in the build of Control Testing Automation, Findings, and Risk identification dashboards.

• Assist in the design and development of automated and sustainable reporting for a variety of audiences including management, the Chief Compliance Officer, the Board of Directors, and regulators.

• Support analytics framework by following best practices

• Assess existing technologies and data sets and determine how they can best be used to drive analyses and inform decision-making for Compliance.

• Escalate issues to the Manager, Compliance Monitoring, as needed.

• Other duties, as assigned.

Supervisory Responsibilities:

Not Applicable.

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.

• Knowledge in process management, including familiarity with issue management or audit best practices

• Understanding of the role and importance of internal controls within the organization

• Strong analytical skills with the ability to apply judgement to provide efficient and effective solutions, and to analyze all collected data to garner useful results

• Experience working with, cleaning and analyzing large and complex data sets and structures to derive meaningful results.

• Experience building dashboards and reports in Tableau, or similar monitoring tool.

• Excellent technical and analytical skills. Ability to deliver thoughtful, efficient solutions quickly in a fast-paced environment.

• Ability to communicate solutions clearly and effectively to business users and senior management.

• Ability to work across teams and with varying subject matter experts to develop requirements and to obtain and analyze data.

• Ability to work independently and as a member of a team.

• Ability to work under deadlines and manage multiple tasks simultaneously.

Technical Skills:

• eGRC experience (specifically RSA Archer)

• Understanding of statistics/quantitative analysis and experience applying these concepts in a business environment, preferred.

• Microsoft suite of applications (i.e., Outlook, Word, Excel, PowerPoint)

Education and/or Experience:

• Bachelor’s Degree in Business Administration, Finance, or related discipline required.  

• 1-3 years of experience working directly with and in coordination with compliance personnel

• 1-3 years of fintech or financial industry experience, a plus.

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