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Senior Associate, Corporate Compliance


This role is as an integral part of the Compliance Department and will interact frequently with OCC’s business departments.  With oversight by the Department’s managerial staff, the Senior Associate, Corporate Compliance will support the Corporate Compliance team’s processes, which will include, but not be limited to, conflicts of interest, policy and procedure monitoring, and compliance testing. 

Primary Duties and Responsibilities:

To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.

Corporate Compliance Responsibilities

  • Support the conflicts of interest monitoring process through management of disclosure workflows and administration of disclosure system (Schwab Compliance Technologies).

  • Support the administration of OCC’s policy management system (PolicyTech) and monitor the document management lifecycle.

  • Review policies and procedures for adherence to OCC’s policy governance requirements.

  • Assist in the monitoring of required training on Policies and Procedures and provide guidance to other Departments based on the results.

General Responsibilities

  • Learn, develop and maintain compliance knowledge through practical experience and ongoing training.

  • Draft departmental reports and engage and assist in special projects and other ad-hoc activities that support OCC’s compliance program.

  • Work directly with business units to support compliance-related activities.

  • Assist with compliance testing activities, including review of remediated findings, review of policies, procedures and controls for design and operating effectiveness, or other ad-hoc testing, as needed

  • In conjunction with managers, develop comprehensive and sustainable solutions for business units to consider as part of their efforts to demonstrate compliance and operational resiliency.

  • Identify opportunities for increased effectiveness and efficiency in current compliance processes.

Supervisory Responsibilities:

  • None


The requirements listed are representative of the knowledge, skill, and/or ability required.  Reasonable accommodations may be made to enable individuals with disabilities to perform the primary functions.

  • Strong attention to detail and analytical skills including data analytics and reporting.

  • Strong interpersonal skills, including excellent written and oral communication skills.

  • Ability to think creatively and present ideas clearly.

  • Ability to manage multiple tasks/projects and deadlines simultaneously, as well as shifting priorities.

  • Ability to interact and collaborate with all levels of the organization and across a multitude of departments is essential.

  • Comprehensive analytical, conceptual, and problem-solving skills.

Technical Skills:

  • Microsoft Office Proficiency including advanced Excel, PowerPoint and Word

Education and/or Experience:

  • 1-3 years of experience, preferably in an audit, compliance, enterprise risk, legal or related consulting function

  • Bachelor's Degree strongly preferred

Certificates or Licenses:

  • CCEP, LPEC, CIA, CISA or related certification, a plus

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-2079
  • Chicago - 125 S Franklin
  • Full Time Regular
  • Posted: Jun. 10, 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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