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Executive Principal, Associate General Counsel

The Executive Principal,  Associate General Counsel will advise internal clients on regulatory reporting and responses to regulator requests, including in the examination process, and serve as the central point of contact with staff from regulatory agencies on exam and other regulatory reporting matters, as appropriate.

  • Assist with management of relationship with regulators from the SEC, the CFTC, and the Board of Governors of the Federal Reserve System.
  • Develop, maintain, and manage regulatory reporting processes, including coordination and submission of recurring and ad-hoc regulatory reporting responses to requests.
  • Facilitate planning and coordination of recurring and ad-hoc meetings with regulators (monitoring and special topic).
  • Lead internal meetings with control functions and business unit personnel to respond to regulator requests and prepare for regulatory examinations.
  • Provide project and logistical management of regulatory meetings (in conjunction with relevant subject matter experts).
  • Be familiar with and advise internal clients on compliance with specific regulations applicable to OCC, including the SEC’s Covered Clearing Agency Standards, the SEC’s Regulation Systems Compliance and Integrity (Reg. SCI) and the CFTC’s Systems Safeguards, and any legal developments in matters concerning the Corporation.
  • Prepare internal clients for on-site portions of regulatory exams.
  • Monitor proposed regulations and ensure the organization is apprised of regulatory changes and developments in matters concerning OCC, facilitate Regulatory Review Team process, and prepare Regulatory Update.
  • Coordinate regulatory filing protocols, contact information, and update relevant internal documents.
  • Maintain Reporting Inventory and annual Docket.
  • Identify and communicate key themes and updates from regulator interactions across different levels of the organization.
  • Review, draft, and provide advice regarding policies, procedures, and business communications. relative to the regulatory change processes on an as needed basis.
  • In coordination with support staff, oversee management of regulatory meeting logistics, including system access and secure data transmission protocols.
  • Ensure the policy, procedures, and practices of the Regulatory Relationship process comply fully with all legal and regulatory requirements and codes of practice/conduct.
  • Ensure that effective risk management processes are established within the Regulatory Relationship process in accordance with OCC’s risk appetite and risk and control framework.
  • Interface with outside counsel, as needed, with respect to matters described above.
  • Perform other duties as requested.

Qualifications/Education/Technical Skill:

  • Prior experience in securities and commodity laws and regulations.
  • Prior experience working with regulatory agencies and familiarity with regulations under Dodd-Frank, SEC Regulation SCI and other applicable financial regulations preferred.
  • Prior experience in litigation matters involving financial regulatory agencies preferred.
  • Excellent organizational, analytical and problem-solving skills.
  • Ability to manage medium to high complexity matters with a significant degree of independence.
  • Ability to expeditiously identify and assess issues and provide legally sound recommendations consistent with good business practices and reason.
  • Excellent interpersonal and communication skills.
  • Excellent writing skills.
  • Detail-oriented, flexible, and creative.
  • Well-organized and capable of handling several substantial assignments at the same time.
  • Self-starter with ability to work independently as well as on a team and to quickly shift priorities in response to changing business environment or priorities.
  • Ability to work collaboratively, including through effective communication, with internal clients from different departments at various levels of seniority.
  • Ability to promptly produce high-quality, accurate, and detailed work product.
  • Microsoft Office (Excel, Word).
  • 8-10 years of relevant experience at a law firm or corporate in-house position.
  • Juris Doctor or equivalent degree from a law school accredited by the American Bar Association.
  • Bachelor’s degree from accredited college or university.
  • Admitted to practice law in Illinois.

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

Apply About OCC
  • REQ-2141
  • Chicago - 125 S Franklin
  • Full Time Regular
  • Posted: Sep. 23, 2021

How to Apply

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.

OCC is an Equal Opportunity Employer

Numerous studies have shown that people from groups that are traditionally under-represented in financial services apply to jobs only if they believe they meet 100% of the requirements. We want to break down this mindset to further diversify our workforce.

We encourage you to review our open positions and apply if you think your experience may be a match, even if you do not meet all of the qualifications. Your perspective may be an element we need to continue building innovative solutions to support the markets and market participants we serve.

OCC is a globally recognized entity that clears a multitude of diverse and sophisticated products. We want to reflect this in the diversity of our workforce.

This web site discusses exchange-traded options issued by The Options Clearing Corporation. No statement in this web site is to be construed as an endorsement, recommendation or solicitation to purchase or sell a security, or to provide investment advice. Options involve risk and are not suitable for all investors. Prior to buying or selling an option, a person must receive a copy of the disclosure document, Characteristics and Risks of Standardized Options. Individuals should not enter into option transactions until they have read and understood this document. To obtain copies, contact your broker, any exchange on which options are traded, or The Options Clearing Corporation, 125 S. Franklin Street, Suite 1200, Chicago, IL 60606 ([email protected]).