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
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