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Senior Associate, Compliance 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 Executive Director, Compliance Assurance and Monitoring and will assist in the facilitation and review of monitoring, surveillance, and risk identification tools within the Compliance Monitoring team. Additionally, this role will assist with the execution of the management self-testing, quality assurance, attestation, and compliance testing programs.

  • Review monitoring, surveillance, and risk identification dashboards
  • Review outputs from compliance monitoring program for potential areas of regulatory and/or operational risk, including root cause analysis
  • Communicate and coordinate response efforts from compliance monitoring outputs with the department and other stakeholders  
  • Assist in the execution of the management self-testing and quality assurance program
  • Assist in the execution of the attestation program
  • Assist in the execution of the compliance testing program
  • Escalate issues to the Director, Compliance Monitoring, as needed
  • Other duties, as assigned

Qualifications/Technical Skills/Education:

  • 1-3 years experience working in a highly regulated financial services environment
  • Familiarity with compliance monitoring and surveillance practices
  • Familiarity with internal controls, audit and assurance practices, SOC experience 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 (i.e. Excel)
  • Documentation expertise (i.e. Word)
  • Presentation experience (i.e. PowerPoint, Word, and Publisher)
  • Tableau experience a plus
  • RSM eGRC Archer experience a plus
  • Bachelor’s degree in Business, Finance, Accounting, or a related discipline
  • 1-3 years related experience, preferably within a financial services industry

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-2196
  • Chicago - 125 S Franklin
  • Full Time Regular
  • Posted: Sep. 21, 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]).