The Options Clearing Corporation (OCC) · 1 month ago
Senior Associate, Compliance Monitoring
Chicago - 125 S Franklin
Full-time
Hybrid
Mid, Senior Level
$75K/yr - $105K/yr
1+ years expThe Options Clearing Corporation (OCC) is the world's largest equity derivatives clearing organization. This role will report to the Manager, Compliance Monitoring and will provide operational and minor technical solutions for the programs that oversee compliance with OCC’s regulatory and internal control environment.
FinanceFinancial ServicesProperty Management
No H1B
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
Qualification
Required
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
Preferred
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
The Options Clearing Corporation (OCC)
The Options Clearing Corporation (OCC) is the world's largest equity derivatives clearing organization.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
David Hoag
Chief Information Officer
Kristen Baldwin
Chief Information Officer
Recent News
2025-12-24
Company data provided by crunchbase