The Options Clearing Corporation (OCC) · 13 hours ago
Associate Principal, Compliance Monitoring
Chicago - 125 S Franklin
Full-time
Hybrid
Mid, Senior Level
$97K/yr - $137K/yr
3+ years expThe Options Clearing Corporation (OCC) is the world's largest equity derivatives clearing organization, dedicated to promoting stability and market integrity. The Associate Principal, Compliance Monitoring will be responsible for designing and implementing technical solutions for compliance programs, including automating control testing and developing dashboards and reports for management and regulators.
FinanceFinancial ServicesProperty Management
No H1B
Responsibilities
Design, build, and maintain automated workflows that enable data extraction, processing, and conversion to standardized data models
Develop and maintain data pipelines that ensure end-to-end process automation related to different aspects of the Compliance program
Create and maintain department dashboards and other monitoring solutions
Implement 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 in code review, testing, documentation and technical writing
Optimize existing technologies and data sets and develop new solutions to drive analyses and inform decision-making for Compliance
Analyze overall analytics processes strategically and provide comprehensive solutions on a design architecture level
Escalate issues to the Manager, Compliance Monitoring, as needed
Other duties, as assigned
Qualification
Required
Strong programming skills oriented towards data analytics involving data extraction, manipulation, processing and analysis
Advanced SQL skills and experience writing efficient complex queries for data extraction
Working knowledge of API protocols and extracting data from REST APIs and source systems
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
Strong understanding of CI/CD, DevOps principles in a data context
Experience leveraging AI tools for analytics processes to create efficiencies
Ability to communicate technical 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 manage and prioritize assignments and respond to rapidly shifting priorities
Ability to work independently and as a member of a team
Ability to work under deadlines and manage multiple tasks simultaneously
Proficient programming skills in either Python (Pandas/Numpy), Matlab or R
SQL programming on relational databases
Tableau or Python/R data visualization libraries
Experience working on workflow and orchestration tools like Alteryx, Airflow, Power BI or scheduling automated jobs in Windows or Unix environment
Experience with cloud data services (AWS, Azure or similar platforms)
Building end-to-end data pipelines and using best practices in development and testing
Familiarity with Agile framework and versioning tools like Git
3-5 years of software development/data analytics/quantitative analysis roles required
Bachelor's Degree in Computer Science, Information Systems, Mathematics, Finance, or related discipline required
Preferred
Object Oriented programming skills (C++/Java), preferred
Experience with Agentic AI tools, generative AI and prompt engineering, preferred
2+ years of fintech or financial industry experience, preferred
2 years working in Risk or Compliance areas, preferred
Master's Degree preferred
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