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Manager, Internal Audit Operations

The Manager, Internal Audit Operations will support OCC’s Internal Audit team in overseeing the execution, escalation, and completion of the portfolio of audits, validation, and department special projects. This individual will focus on confirming that the department delivers its commitments on time and within the assigned budget. The Manager will also own and be accountable for all IAD Operations processes: Audit Committee Reporting, policy and procedure documentation maintenance, employee and co-source resource onboarding, and departmentwide training delivery (content will be developed by the department) and execute the annual external co-source provider assessment.

  • Manage the process of tracking the portfolio of audits against estimated budgets (hours), actual hours incurred, and overall progress tracking and reporting. Escalate challenges to IAD leadership related resource management and scheduling.
  • Maintain the department policy and procedure documents, including required annual review and updates and ad-hoc improvements guided by IAD leadership.
  • Manage the relationship with IAD co-source provider, coordinating all onboarding and offboarding requirements and monitoring and reporting on co-source budget performance.
  • Support Audit Committee (AC) reporting, managing the workflow to collect and produce the required presentation decks and coordinating with Corporate Secretary to publish materials to the AC timely.
  • Overall management of the IAD budgeting process, coordinating with IAD leadership for creation of annual budgets and tracking expenses and reporting as needed to support IAD deliver its commitments within the designated budget.
  • Drive continuous improvement in the IAD operations by identifying, proposing, and executing on IAD operations process improvements.
  • Report IAD’s Key Performance Indicators (KPI) and maintaining those metrics and proposing and creating new KPIs as needed.
  • Assist with the administration and production of regulatory requests.
  • Support development of the team’s audit skills through annual skills assessment.
  • Support IAD training and certification efforts including registration, logistics, and tracking.
  • Administer customer satisfaction surveys at the conclusion of each audit and report the results to the audit team and IAD leadership.
  • Provide supervision, coaching and development to the IAD Operations team employees reporting to this position.

Qualifications/Technical Skills/Education:

  • Project Management skills or equivalent work experience (PMP certification a plus).
  • Demonstrated ability to gather, analyze, evaluate facts, and prepare and present concise oral and written reports.
  • Ability to communicate clearly and effectively, both orally and in writing, including the ability to handle potentially sensitive situations and discussions.
  • Ability to work independently or as part of a team, prioritizing multiple assignments simultaneously to complete each in a timely fashion.
  • Demonstrated leadership and coaching abilities of staff level resources.
  • Strong problem solving and analytical capabilities.
  • Experience working in a complex, fast paced environment.
  • Experience in Financial Services/Security Industry and working with regulatory organizations such as: Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), Federal Reserve preferred.
  • Experience working within an Internal Audit function preferred.
  • Advanced Microsoft Office Suite (Excel, PowerPoint, Visio, and Word) skills.
  • Knowledge of the principles, practices, and techniques involved in conducting audits in accordance with the requirements set forth in the International Standards for the Professional Practice of Internal Auditing published by the Institute of Internal Auditors (IIA) preferred.
  • Strong proficiency using Archer or other audit or GRC software preferred.
  • Knowledge of Tableau, ACL, or other data visualization or reporting tools preferred.
  • Bachelor’s degree (or equivalent) in Business, Project Management, or related field.

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-1930
  • Chicago - 125 S Franklin
  • Full Time Regular
  • Posted: Feb. 3, 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.

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