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Associate Principal, Internal Audit IT and Security

Name of Employer:

The Options Clearing Corporation

Job Title:

Associate Principal, Internal Audit IT and Security

Location:

9111 Cypress Waters Blvd, Suite 400, Dallas, Texas 75019

Duties:

Responsible for keeping current on leading practices and emerging risks in IT, information security, and cyber security within the financial services industry to make recommendations for improvements, as necessary. Conduct internal audits in accordance with the Standards for the Professional Practice of Internal Auditing published by the Institute of Internal Auditors (IIA) and NIST. Evaluate internal controls design, identify key risks and controls, develop and review audit programs, benchmark financial and operational processes and controls, and perform controls optimization. Conduct testing, perform readiness assessments, and leverage various technical Information Technology controls (e.g., databases, operating systems, data warehouses, and reporting tools) to help achieve optimal operational efficiency. Maintain an understanding of policies, procedures, standards, and supporting technologies to effectively identify potential risks and creative alternatives to mitigate risk exposure. Define and lead the execution of audit projects in accordance to the annual audit plan. Own the audit quality, accuracy of results, and delivery in a timely manner. Provide oversight and coach the internal team, confirming the delivery, quality, and auditee experience. Plan, lead, and report for risk-based special request audit assignments. Proactively identify regulatory, IT, information security, operational, and strategic risks to the organization and deliver recommendations for improvements to senior leadership. Identify and analyze root cause exceptions or inefficient practices and partner with management providing advice and recommendations to develop achievable solutions. Develop, maintain, and strengthen effective relationships with IT, business groups, and leadership, and partner with management. Serve as a liaison with external parties and regulators to facilitate timely and efficient external reviews, knowledge transfer, controls and process education. Up to 40% telecommuting permitted. *This position qualifies for The Options Clearing Corporation’s Employee Referral Program.*

Education & Experience Required:

Bachelor’s degree in  accounting, finance, IT, business administration or related and three (3) years of experience as a financial specialist, IT auditor, digital assurance and transparency associate, risk consultant or related.

Special Skills Required:

Must have work experience with each of the following: 1) Conduct internal audits in accordance with the Standards for the Professional Practice of Internal Auditing published by the Institute of Internal Auditors (IIA) and NIST; 2) Conduct testing, perform readiness assessments, and leverage various technical Information Technology controls (e.g., databases, operating systems, data warehouses, and reporting tools) to help achieve optimal operational efficiency; and 3) Evaluate internal controls design, identify key risks and controls, develop and review audit programs, benchmark financial and operational processes and controls, and perform controls optimization.

Salary

$108,100 - $124,300

Apply:

Apply online at www.theocc.com. No calls. EOE.

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-3648
  • Dallas, TX
  • Full Time Regular
  • Posted: Feb. 02, 2024

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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