The Compliance Officer will support the Regulatory Compliance Advisory team in ensuring OCC’s business units demonstrate compliance with regulatory obligations. Primary responsibilities include assisting the Regulatory Compliance Advising team with maintaining OCC’s legal framework, advising business units on remediating regulatory and Internal Audit findings, and reviewing company policies, procedures, and controls.
Primary Duties and Responsibilities:
- Perform reviews of OCC’s legal framework, including updating referenced policies, procedures, and controls that evidence compliance with regulatory obligations
- Assist with remediating regulatory and Internal Audit findings, including collecting data to identify root cause of problems, identifying trends, formulating solutions, and escalating potential issues as necessary
- Create and update compliance posture reports related to OCC’s legal framework and communicate summary information to business units
- Advise OCC’s business units on developing and maintaining processes and controls to mitigate identified risks
- Produce business process flow diagrams and associated controls in alignment with business unit procedures
- Recommend improvements to policies, procedures, and controls to enhance OCC’s risk control environment
- Communicate changes in OCC’s risk control environment that may have an impact on OCC’s regulatory compliance posture to senior management
- Learn, develop, and maintain compliance knowledge through practical experience and ongoing training
- Perform ad-hoc duties for Compliance management as necessary
- Outstanding communication skills, both verbal and written
- Strong attention to detail and analytical skills, including data analytics and reporting
- Ability to present ideas clearly and think creatively
- Ability to manage multiple tasks/projects simultaneously
- Ability to respond to shifting priorities and manage deadlines
- Strategic thinker, with strong conceptual and problem-solving skills
- Proficiency with Microsoft Office Suite, including Word, Excel, and PowerPoint
- Experience using an integrated risk management system (such as RSA Archer Suite) a plus
- Experience using NAVEX Global PolicyTech a plus
- Business Intelligence tool experience (i.e. Tableau), a plus
Education and/or Experience:
- Bachelor's Degree in Accounting, Business, Economics, Finance, or other business and finance-related discipline
- Minimum of 2-3 years’ experience performing risk and control activities in the financial services industry
- Experience working in compliance, audit, or risk for a financial services company a plus
- Familiarity with the Securities Exchange Act of 1934 and the Commodity Exchange Act a plus
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OCC is an Equal Opportunity Employer