Summary

This role will support independent assessments of OCC's financial and operational business processes, risk management, and other objectives as needed. The role is responsible for determining the sufficiency of management's controls and activities related to the management of regulatory, operational, and strategic risks and presenting recommendations for improvements to the engagement team.

Responsibilities

This role will support independent assessments of OCC's financial and operational business processes, risk management, and other objectives as needed. The role is responsible for determining the sufficiency of management's controls and activities related to the management of regulatory, operational, and strategic risks and presenting recommendations for improvements to the engagement team.

Responsibilities will be aligned, but not limited, to two pillars:

Delivery

• Support the team, both OCC and/or co-sourced resources, on delivery of assigned audits within the annual audit plan.
• Support the team, both OCC and/or co-sourced resources, confirming a professional auditee experience. 
• Owning the audit quality, accuracy of results, and delivery in a timely manner.
• Support the identification of regulatory, operational, and/or strategic risks to the organization and bring them to your engagement team.
• Identify exceptions or inefficient practices for root causes and propose advice and recommendations for achievable solutions.
• Supporting audits related to organization changes including business requirements definitions, technology implementations (e.g., changes to the supported business processes), engagement and alignment of change initiatives to business objectives.

Quality

• Ability to quickly develop an understanding of policies, procedures, standards, and supporting technologies, and educating staff accordingly, to effectively identify potential risks and alternatives to mitigate risk exposure leveraging leading practices.
• Ability to understand professional principles and standards (e.g., AICPA, IIA IPPF, COSO) and the relevancy to risk management and impact on policies and procedures. In addition, leveraging these principles and standards to test and evaluate corporate risk management processes and controls.

• Keeping current on best practices and emerging risks within the financial services industry and making recommendations for improvements as necessary.

Qualifications & Experience will be required, but not limited, to:

Qualifications

• Ability to communicate clearly and effectively, both orally and in writing, including the ability to handle potentially sensitive situations and discussions.
• Strong problem solving and analytical capabilities.
• Demonstrated ability to gather, analyze, and evaluate facts, and prepare and present concise oral and written reports.
• Ability to work effectively as part of a team, prioritizing multiple tasks simultaneously to complete each in a timely fashion

Experience

• [Preferred] Experience working in a complex, fast paced environment.
• [Preferred] Experience in Financial Services/Security Industry and working with regulatory organizations such as: Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), Federal Reserve.

• [Preferred] Experience using the principles, practices, and techniques involved in conducting audits in accordance with the requirements set forth in the International Standards for the Professional Practice of Internal Auditing published by the Institute of Internal Auditors (IIA).
• [Required] Microsoft Office applications
• [Required] Bachelor’s degree (or equivalent) in Accounting, Finance, Business Administration or related field
• [Preferred] one of the following or equivilant certifications: Certified Financial Services Auditor (CFSA), Certification in Risk Management Assurance (CRMA), Certified Internal Auditor (CIA), Certified Public Accountant (CPA).