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Jennifer Baum

Chief Compliance Officer

Jennifer Baum

Jennifer Baum is Chief Compliance Officer at OCC, the world’s largest equity derivatives clearing organization.

Her responsibilities include leading OCC’s compliance program, working with OCC’s regulators, advising OCC’s board of directors and management team on compliance requirements.

Ms. Baum joined OCC in 2017 as First Vice President of Regulatory and Corporate Compliance at The Options Clearing Corporation. She has worked in the compliance and futures industries for over 25 years, serving in a variety of capacities, including Managing Director of the Investigations Department of the Chicago Board of Trade, Associate Director of Market Regulation at the CME Group and Executive Vice President of Client Solutions at MF Global. In addition to her extensive regulatory background prosecuting electronic and floor trade practice cases at Chicago-based futures exchanges, Ms. Baum has run global new account operations and client service functions at financial services firms.  She has served in Chief Compliance Officer roles at smaller futures commission merchants while maintaining an active role in operations given the size of the organizations.

Ms. Baum is a graduate of the University of Illinois at Urbana-Champaign.

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]).