The Options Clearing Corporation
Associate Principal, Corporate Finance GRC
The Options Clearing Corporation, Chicago, Illinois, United States, 60290
What You'll Do:This role serves an integral part in the governance, risk management, and compliance ("GRC") and administrative functions for all groups within Business Operations, Corporate Risk Management, and Corporate Finance. This role will develop and lead initiatives to promote continuous process and control improvement through, but not limited to, exam management, findings management, change management, control development and testing, and reporting. Collaboration efforts with the second and third lines of defense and external partners are essential to implement an efficient and effective control infrastructure and evaluate risk thresholds. This role will guide and influence the professional development and work responsibilities of other team members.Primary Duties and Responsibilities:To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.Drive efforts to improve control environment through collaboration with the departments and second and third lines of defense based on self-identification and self-testing, external or internal audits, regulatory examinations, compliance reviews, or risk assessments.
Document team responsibilities through the development and maintenance of governance documents such as procedures and job aids.
Proactively communicate best practices and seek opportunities to increase efficiency in the current business processes.
Support and advise departments engaged in the Renaissance Initiative through the Policy & Procedure Change Management process.
Drive progress through active collaboration with subject matter experts during transition of governance documentation.
Analyze issues related to process execution, third party incidents, and customer service through Key Risk Indicator (KRI) tracking and reporting to assess risk tolerance, identify trends and determine a strategy to manage the risk.
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 through change management.
Facilitate internal and external exam requests assigned to the applicable function to ensure completeness and accuracy by evaluating operational effectiveness and alignment with practices.
Advise departments on exam-related matters.
Assist and mentor team members to support the expansion and evaluation of control infrastructure and OCC improvements.
Influence timelines and expectations amongst staff.
Supervisory Responsibilities:NoneQualifications: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.
Technical Skills:Highly proficient use of the Microsoft Office suite: Outlook, PowerPoint, Word, and Visio, emphasis in Excel (e.g., pivot tables, sumif formulas, lookup formulas).
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).
Five years of experience with audit, compliance, or enterprise risk or related advisory function preferred.
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.
Certificates or Licenses:N/A, willingness to seek certifications plus.
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.
Application Process:When you find a position you're interested in, click the 'Apply' button. Please complete the application and attach your resume.
You will receive an email notification to confirm that we've received your application.
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.
#J-18808-Ljbffr
Document team responsibilities through the development and maintenance of governance documents such as procedures and job aids.
Proactively communicate best practices and seek opportunities to increase efficiency in the current business processes.
Support and advise departments engaged in the Renaissance Initiative through the Policy & Procedure Change Management process.
Drive progress through active collaboration with subject matter experts during transition of governance documentation.
Analyze issues related to process execution, third party incidents, and customer service through Key Risk Indicator (KRI) tracking and reporting to assess risk tolerance, identify trends and determine a strategy to manage the risk.
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 through change management.
Facilitate internal and external exam requests assigned to the applicable function to ensure completeness and accuracy by evaluating operational effectiveness and alignment with practices.
Advise departments on exam-related matters.
Assist and mentor team members to support the expansion and evaluation of control infrastructure and OCC improvements.
Influence timelines and expectations amongst staff.
Supervisory Responsibilities:NoneQualifications: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.
Technical Skills:Highly proficient use of the Microsoft Office suite: Outlook, PowerPoint, Word, and Visio, emphasis in Excel (e.g., pivot tables, sumif formulas, lookup formulas).
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).
Five years of experience with audit, compliance, or enterprise risk or related advisory function preferred.
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.
Certificates or Licenses:N/A, willingness to seek certifications plus.
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.
Application Process:When you find a position you're interested in, click the 'Apply' button. Please complete the application and attach your resume.
You will receive an email notification to confirm that we've received your application.
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.
#J-18808-Ljbffr