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Manager, Compliance Assurance & Monitoring

About Us

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 3 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

This role will report to the Director, Compliance Monitoring, and will provide execution and oversight for the programs that oversee compliance with OCC’s regulatory and internal control environment. This includes, but is not limited to, facilitating and overseeing the management self-testing program, management self-testing quality assurance, quarterly attestations, and compliance testing program. Additional responsibilities include ensuring the organization’s compliance with OFAC requirements and providing business inputs and reviewing outputs of the Compliance monitoring program – including board reporting materials.  

  • Oversee the facilitation of the management self-testing program, including drafting of test plans, launching campaigns, reviewing of results, and reporting on program
  • Oversee and advance the management self-testing quality assurance program  
  • Facilitate, review and report on the company’s attestation program
  • Oversee the Compliance testing activities and enhance the testing program in order to provide assurance and insight into the compliance-related activities of the organization
  • Design and perform tests of controls for design and operational effectiveness, as needed
  • Report on output of programs to stakeholders, senior management, and the board
  • In coordination with other members of the department, develop tools and reports for Compliance Monitoring
  • Work with internal stakeholders (ERM, Internal Audit, others) to determine ways to leverage work and maximize efficiency across the organization
  • Escalate issues to the Director, Compliance Monitoring, and the Chief Compliance Officer, as needed
  • Perform other duties as assigned
  • Supervise a team of Associate Principals and Senior Associates
  • Prioritize and distribute assignments, projects and initiatives to ensure deliver of work product to accomplish objectives and goals
  • Promote staff's personal and professional development
  • Perform administrative supervisory activities including performance reviews, corrective action documentation, and other tasks as needed

Qualification/Technical Skills/Education:

  • Strong background and knowledge in process management, including familiarity with issue management or audit best practices
  • Understanding of the role and importance of internal controls within the organization
  • Strong analytical 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
  • Excellent written and oral communication skills and the ability to interact with various departments to successfully collect needed information
  • Ability to adapt quickly to changing priorities, environment constraints, and project deadlines
  • Ability to manage multiple efforts concurrently
  • Graphical/Charting expertise (i.e. Visio)
  • Spreadsheet expertise (i.e. Excel).
  • Documentation expertise (i.e. Word)
  • Presentation experience (i.e. PowerPoint, Word, and Publisher)
  • eGRC experience (specifically RSA Archer), preferred
  • SOC experience and/or knowledge of COSO preferred
  • Bachelor’s Degree in Business, Finance, Accounting, or a related discipline
  • 7-10 years related experience, preferably 3 years within financial services
  • Familiarity with internal controls role within an organization
  • Experience in identifying process improvements
  • Experience in project planning and reporting results
  • Experience with managing multiple projects simultaneously
  • CPA, CIA, CISA or other related certification, preferred

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-2198
  • Chicago - 125 S Franklin
  • Full Time Regular
  • Posted: Sep. 27, 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]).