The Options Clearing Corporation

Senior Associate, Regulatory Compliance

Chicago - 125 S Franklin · Senior

H1B sponsorship available$77k-$106kDetected 5 hours ago

ComplianceAccountingAuditingProcess ImprovementHRISCommunicationCollaborationProblem SolvingMicrosoft OfficeInternal AuditCFA

About the role

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.

This role will support a team ensuring OCC demonstrates compliance with regulatory obligations.
This role supports the continued development and implementation of the compliance program, which includes driving compliance strategies, process and control development and documentation, risk identification and mitigation, and supporting regulatory exams.
Assist the compliance monitoring program in support of providing frequent and highly professional reports to the CCO, executive management, and the Board of Directors
Perform reviews of OCC's legal framework, including updating and reviewing referenced policies, procedures, and controls that evidence compliance with regulatory obligations
Perform ad-hoc duties for Compliance management as necessary

The requirements listed are representative of the knowledge, skill, and/or ability required.
[Required] Basic working knowledge of the financial industry
[Required] Excellent organizational and communication skills
[Required] Comprehensive analytical, conceptual and problem-solving skills
[Required] Ability to support policy and procedure management, process and control management, testing, monitoring, risk assessment, and findings management
[Required] Ability to manage and prioritize assignments and respond to rapidly shifting priorities
[Required] Ability to work independently and as a member of a team, collaborating with internal business clients at various levels of seniority
[Required] Must be able to work under deadlines and manage multiple tasks
[Required] Strategic thinker, with strong conceptual and problem-solving skills
To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.

[Required] Bachelor's Degree in Accounting, Business, Economics, Finance, other business and finance-related discipline or Information Systems, Computer Science or related discipline
[Preferred] Basic working knowledge of securities and commodities rules and regulations. (i.e., SEC, CFTC, etc.)
[Preferred] Basic working knowledge of compliance related best practices
[Preferred] Some experience in risk and control frameworks, and process improvement frameworks (e.g. COBIT, COSO, ITIL, NIST, ISO 27001, ISO 9001, CMMI)

[Required] Proficiency with MS Office software
[Preferred] Experience using PolicyTech
Education and/or Experience:
[Required] 0-3+ years of experience
[Preferred] Experience working in compliance, audit, or risk for a financial services company
[Preferred] Familiarity with the Securities Exchange Act of 1934 and the Commodity Exchange Act
Certificates or Licenses:
[Preferred] CPA, CFA, CIA, CFE, CISA, etc.
The Options Clearing Corporation (OCC) is the world's largest equity derivatives clearing organization.
More information about OCC is available at www.theocc.com.
A highly collaborative and supportive environment developed to encourage work-life balance and employee wellness.
Some of these components include:

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
$76,500.00 - $105,500.00
Incentive Range
Assist in the writing of the annual compliance report, as well as other ad hoc and regularly occurring reports

Tuition Reimbursement to support your continued education
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

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.
OCC has more than 100 clearing members and provides central counterparty (CCP) clearing and settlement services to 19 exchanges and trading platforms.
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.
Assist with collection of documents and other preparation as part of the exam management process

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.

This listing is sourced directly from The Options Clearing Corporation's careers page and normalized into a canonical job model.