OCC
We clear and settle trades for the options industry.
Dallas, TX, USA
Hybrid

Senior Associate, Corporate Compliance

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This position is not eligible for sponsorship.
What You'll Do:
This role will report to the Manager, Corporate Compliance, and will assist in the development, facilitation, and execution of the programs that make up OCC's Corporate Compliance environment. This includes, but is not limited to, assisting in the execution of the Policy Governance Policy, Conflicts of Interest, Code of Conduct and Contingent Worker Code of Conduct, and Reported Concerns and Investigations programs and Electronic Communication Policy.
Primary Duties and Responsibilities:
To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.

  • Assist in the facilitation and execution of the Conflicts of Interest program, including on-boarding of new employees, training of new and seasoned employees, and the monitoring of employees for violations of the Conflicts of Interest Monitoring Procedure. This may include, but is not limited to, disclosures, trading activity, waivers, questionnaires, escalations, and the issuance of violations.
  • Assist in the facilitation and execution of the Policy Governance Policy program, including, but not limited to, pre-publishing review, regulatory documents review, monitoring for overdue PGP documents, conducting training and monitoring, reporting, escalation, and the issuance of violations.
  • Assist in the facilitation of the OCC Code of Conduct and Contractor Code of Conduct programs, including training of new and seasoned employees/contractors.
  • Assist in the facilitation and execution of the Electronic Communications Policy program.


Supervisory Responsibilities:
N/A
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.

  • Familiarity with trading and/ or trade monitoring.
  • Familiarity with compliance training and policy and procedure governance.
  • Understanding of the role and importance of policies and procedures 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.
  • Excellent written and oral communication skills and the ability to interact with various departments to successfully collect needed information.
  • Ability to adapt quickly to changing priorities, environment constraints, and project deadlines.
  • Ability to manage multiple efforts concurrently.


Technical Skills:

  • My Compliance Office experience a plus.
  • Excel


Education and/or Experience:

  • Bachelor's Degree or equivalent experience
  • 1-3 years related experience
  • Familiarity with policies and procedures within an organization
  • Experience identifying process improvements
  • Experience in project planning and reporting results
  • Experience managing multiple projects simultaneously


Certificates or Licenses:

  • N/A


Who We Are:
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.
What We Offer
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
Competitive health benefits including medical, dental and vision
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

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What are OCC Perks + Benefits

OCC Benefits Overview

Educational Assistance and Student Debt Forgiveness, 12-week paid parental leave, technology stipend up to $2,000, mobile data reimbursement of $35 per month. Open offices, online health coaching.

Culture
Volunteer in local community
Each year, OCC employees select a locally-based charitable organization for each of our three offices (Chicago, Dallas and Washington, D.C.). We offer multiple opportunities to get involved.
Partners with nonprofits
OCC Partners with local organizations in Dallas, Chicago and DC to raise funds and support their missions. Employees select the charity and are eligible for up to 8 hours of paid time to volunteer.
Open door policy
OKR operational model
Team based strategic planning
Open office floor plan
Employee resource groups
Employee-led culture committees
Hybrid work model
In-person all-hands meetings
Flexible work schedule
OCC provides employees with a flexible work schedule that includes Flexible start and end times.
Remote work program
2 days per week work from home program
Diversity
Dedicated diversity and inclusion staff
Mandated unconscious bias training
Diversity employee resource groups
Hiring practices that promote diversity
Diversity recruitment program
Health Insurance + Wellness
Flexible Spending Account (FSA)
Disability insurance
Dental insurance
Vision insurance
Health insurance
Life insurance
Wellness programs
Mental health benefits
Financial & Retirement
401(K)
401(K) matching
OCC provides employees with a 401(k) matching plan managed by Fidelity. We match 50% of contributions up to 6% of an employee's annual gross pay.
Performance bonus
Charitable contribution matching
Child Care & Parental Leave
Generous parental leave
12-week paid parental leave
Adoption Assistance
Vacation + Time Off
Generous PTO
OCC employees receive between 22 and 32 days per year of paid time off based on years of service.
Paid volunteer time
Sabbatical
Eligible employees get 30 days of paid sabbatical after their first 10 years of working at the company.
Paid holidays
Paid sick days
Bereavement leave benefits
Office Perks
Commuter benefits
OCC Offers pre-tax commuter benefits for employees in Chicago and Washington, D.C.
Company-sponsored happy hours
Relocation assistance
OCC offers relocation assistance which varies based on the position level and location.
Home-office stipend for remote employees
Mother's room
Professional Development
Job training & conferences
OCC offers employees professional development opportunities including onsite training courses and the ability to attend job related certification courses, conferences and seminars.
Tuition reimbursement
Our tuition reimbursement plan offers an annual max of $1000.
Lunch and learns
OCC hosts leadership lunches on a regular basis so you can learn about your colleagues and their unique backgrounds.
Promote from within
Online course subscriptions available
Customized development tracks
Paid industry certifications
Employees are strongly encouraged to stay current in relevant technologies and supports certification programs.

Additional Perks + Benefits

We were just recognized as a best place to work for working parents! Take a look at our blog post here: https://www.theocc.com/Newsroom/Views/2021/04-26-OCC-Designated-as-Best…

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