Senior Associate, Compliance Monitoring

The Options Clearing Corporation (OCC) is the world's largest equity derivatives clearing organization. This role will provide operational and technical solutions for compliance programs, including managing self-testing and developing reporting tools for various stakeholders.

Responsibilities

• Facilitate the management self-testing program, including drafting of test plans, launching campaigns, and reporting on program
• Perform tests of controls for design and operational effectiveness
• Facilitate the company’s attestation program
• Build workflows that enable data extraction, processing, and conversion to standardized applications such as Tableau and Microsoft Excel
• Assist in the build of Control Testing Automation, Findings, and Risk identification dashboards
• Assist in the design and development of automated and sustainable reporting for a variety of audiences including management, the Chief Compliance Officer, the Board of Directors, and regulators
• Support analytics framework by following best practices
• Assess existing technologies and data sets and determine how they can best be used to drive analyses and inform decision-making for Compliance
• Escalate issues to the Manager, Compliance Monitoring, as needed
• Other duties, as assigned

Skills

• Knowledge in process management, including familiarity with issue management or audit best practices
• Understanding of the role and importance of internal controls 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
• Experience working with, cleaning and analyzing large and complex data sets and structures to derive meaningful results
• Experience building dashboards and reports in Tableau, or similar monitoring tool
• Excellent technical and analytical skills. Ability to deliver thoughtful, efficient solutions quickly in a fast-paced environment
• Ability to communicate solutions clearly and effectively to business users and senior management
• Ability to work across teams and with varying subject matter experts to develop requirements and to obtain and analyze data
• Ability to work independently and as a member of a team
• Ability to work under deadlines and manage multiple tasks simultaneously
• EGRC experience (specifically RSA Archer)
• Microsoft suite of applications (i.e., Outlook, Word, Excel, PowerPoint)
• Bachelor's Degree in Business Administration, Finance, or related discipline required
• 1-3 years of experience working directly with and in coordination with compliance personnel
• Understanding of statistics/quantitative analysis and experience applying these concepts in a business environment, preferred
• 1-3 years of fintech or financial industry experience, a plus

Benefits

• A hybrid work environment, up to 2 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
• 401k Employer Match
• Competitive health benefits including medical, dental and vision

Company Overview