Explore
Close
Your acceptance of all cookies will permit robust site functionality. If you don't allow cookies, some features and functionality of OCC's site may not operate as expected. If you do not choose either cookie setting for our site, or if you close this window, this message will continue to display on each page you visit. Cookie settings can be controlled in your Internet browser to automatically reject some forms of cookies. For more details on cookies this site uses, see our OCC Site Cookies page. In addition to using cookies, we retain other information, including your Internet Protocol (IP) address, for the purposes listed in the Privacy Policy.

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 (investorservices@theocc.com).