Provides execution and oversight for the programs that oversee compliance with OCC’s regulatory and internal control environment. This includes, but is not limited to, the monitoring and surveillance, management self-testing, and quarterly managements attestations. The regulatory and internal control environment includes the overall risk and governance frameworks, policies/procedures, regulatory obligations and the supporting processes, programs, and internal controls.
Primary Duties and Responsibilities:
To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.
• Analyze, report, and present the outputs of the compliance monitoring and assurance programs.
• Review outputs from compliance monitoring and assurance program for potential areas of regulatory and operational risk, including root cause analysis.
• In coordination with other members of the department, develop and execute tools, reports, process and procedures and reports supporting the compliance monitoring and assurance programs.
• Ensure the monitoring and assurance programs are geared towards adherence to the regulatory compliance and legal framework, enterprise risk and control framework, and relevant policies and procedures
• Support the coordination of internal and external audits
• Facilitate the management self-testing and attestation programs
• Support aspects of program planning and prioritization.
• Assist in the coordination of compliance activities across compliance department, driven by outputs of the monitoring and assurance programs.
• Coordinate efforts across all three lines of defense to maximize efficiency and effectiveness
• Perform other duties as assigned
Supervisory Responsibilities: N/A
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.
• 2-3+ years experience working in a highly regulated financial securities environment
• 2-3+ years experience applying industry frameworks
• Familiarity with compliance monitoring and surveillance practices a plus
• Familiarity with internal controls, audit and assurance practices, SOC experience a plus
• Familiarity with central counterparties, capital markets and/or the options industry a plus
• Excellent written and oral communication skills and the ability to interact with various departments to successfully collect needed information
• Possesses strong analytical and critical thinking skills with the ability to apply judgment to provide efficient and effective solutions, and to analyze all collected data to garner useful results.
• Ability to prepare informative and concise reports depicting the current situation and historical trends
• Ability to adapt quickly to changing priorities, environment constraints, and project deadlines
• Ability to manage multiple efforts concurrently
• Spreadsheet expertise a plus (i.e. Excel)
• Documentation expertise a plus(i.e. Word)
• Presentation expertise a plus (i.e. PowerPoint, Word, and Publisher)
• Business Intelligence tool experience (i.e. Tableau), a plus
• eGRC experience (specifically RSA Archer), a plus
Education and/or Experience:
• Bachelor’s Degree in Business, Information Systems, Computer Science, or a related discipline.
• 2-3+ years related experience in compliance, audit, or risk
• 2-3+ years financial services experience a plus
Certificates or Licenses: Not Required
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OCC is an Equal Opportunity Employer