Explore
Close

Senior Associate, Corporate Compliance

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

This role will report to the Manager, Corporate Compliance, and will assist in the development, facilitation, and execution of the programs that make up OCC’s corporate compliance environment. This includes, but is not limited to, assisting in the execution of the Conflicts of Interest, Code of Conduct and Contractor Code of Conduct, Reported Concerns and Investigations, and Policy Governance Policy programs.

Primary Duties and Responsibilities:

To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.

  • Assist in the facilitation and execution of the Conflicts of Interest program, including on-boarding of new employees, training of new and seasoned employees, and the monitoring of employees for violations of the Conflicts of Interest Monitoring Procedure. This may include, but is not limited to, disclosures, trading activity, waivers, questionnaires, escalations, and the issuance of violations.

  • Assist in the facilitation of the OCC Code of Conduct and Contractor Code of Conduct programs, including training of new and seasoned employees/contractors.

  • Assist in the facilitation and execution of the Policy Governance Policy program, including, but not limited to, pre-publishing review, regulatory documents review, monitoring for overdue PGP documents, conducting training and monitoring, reporting, escalation, and the issuance of violations.

Supervisory Responsibilities:

  • Not applicable

Qualifications:

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.

  • Familiarity with compliance training and policy and procedure governance.

  • Understanding of the role and importance of policies and procedures within the organization.

  • Strong analytical skills with the ability to apply judgement to provide efficient and effective solutions, and to analyze all collected data to garner useful results.

  • Excellent written and oral communication skills and the ability to interact with various departments to successfully collect needed information.

  • Ability to adapt quickly to changing priorities, environment constraints, and project deadlines.

  • Ability to manage multiple efforts concurrently.

Technical Skills:

  • Spreadsheet expertise (i.e. Excel)

  • Documentation expertise (i.e. Word)

  • Presentation experience (i.e. PowerPoint and Publisher)

  • Archer, Schwab Technology Solutions (My Compliance Office) and/or PolicyTech experience, a plus

Education and/or Experience:

  • Bachelor’s Degree in Business, Human Resources, or other applicable area.

  • 1-3 years related experience

  • Familiarity with policies and procedures within an organization

  • Experience identifying process improvements

  • Experience in project planning and reporting results

  • Experience managing multiple projects simultaneously

Certificates or Licenses:

  • Not Applicable

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-2853
  • Chicago - 125 S Franklin
  • Full Time Regular
  • Posted: Sep. 01, 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.

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. Do not accept analytic cookies Accept analytic cookies