Associate Principal, Business Engineering & Strategy (Control)

Who We Are: 
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

What You’ll Do: 
Participate in and support various team, department, and enterprise wide consultative engagements focused on but not limited to business process excellence. This role will contribute to the Business Engineering & Strategy team’s execution of high priority improvement initiatives in collaboration with business partners by assisting with project management, performing critical analyses, supporting facilitation of engagement activities and workshops, and ultimately producing high quality deliverables that provide the blueprints for short and long-term change. 
Primary Duties and Responsibilities: 
To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.    

•    Assist Business Engineering & Strategy team in fulfilling its vision to be OCC’s high-performing, flexible internal consultant advisory team by demonstrating strong client service and delivery excellence in everything we do. 

•    Contribute to the critical analysis of the varied process, risk, control, technology dimensions of OCC’s operating model and aid in developing and socializing leading practices to be applied throughout the firm. 
•    Support engagement activities such as workshops, focus groups, data analysis, etc. with business partners focused on business process and internal control improvement.
•    Build a network across functions at OCC to understand business needs and create collaborative partnerships for success in driving change. 
•    Assist with the creation and oversight of appropriate project management, governance, and oversight structures to support transparency in planning, execution, and communication of our engagements.
•    Assist in root cause analysis, documentation, and presentation efforts for identified issues.
•    Ensure deliverables are high quality and provide value throughout the organization.
•    Contribute to the design and implementation of organization-wide process-centric methodologies (e.g., lean, six sigma), service management, and control frameworks. 
Supervisory Responsibilities:    

•    This role does not have direct reports but may provide supervision to multiple cross-organizational teams within Business Engineering & Strategy engagements.
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.    

•    Basic or working knowledge of management information systems and technology controls. 
•    Basic or working knowledge of control frameworks, industry standards, and principles such as COBIT, NIST Cybersecurity Framework (CSF), Principles for Financial Market Infrastructures (PFMI), American Productivity and Quality Center (APQC), The Open Group Architecture Framework (TOGAF). 
•    Practical experience in auditing/control evaluation and regulatory compliance matters a plus.
•    Experience supporting internal or external client-driven problem solving through consultation and positive influence.
•    Analytical, problem solving, and collaborative skills with the ability to exercise mature and timely judgment and decision-making.
Technical Skills:  

•    Experience with Microsoft Office tools (MS Project, Word, Excel, PowerPoint, Visio)
Education and/or Experience:    

•    2+ years working in consulting, governance, risk management, internal control, or process improvement assessor, advisor, or practitioner roles.
Certificates or Licenses:    

None required but preferred certificates include any of the following:
•    Control Evaluation / Auditing / Examination:  CIA, CISA, CFSA, CFE
•    Risk Management: CRMA, CRISC
•    Governance of Enterprise IT / InfoSec: CGEIT, CISM, CISSP
•    Project Management: PMP, Agile
•    Process Management: Lean, Six Sigma, ITIL

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-2182
  • Dallas, TX
  • Full Time Regular
  • Posted: Jan. 20, 2022

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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