Jennifer Baum is Senior Vice President and 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.