OCC
We clear and settle trades for the options industry.
Chicago, IL
Hybrid

Senior Auditor, Information Technology & Security

Sorry, this job was removed at 6:23 a.m. (CST) on Tuesday, February 1, 2022
Find out who's hiring remotely in Chicago.
See all Remote Content jobs in Chicago
Apply
By clicking Apply Now you agree to share your profile information with the hiring company.

The Options Clearing Corporation (OCC), the world’s largest equity derivatives clearinghouse, is seeking an engaged Senior Auditor ("Associate Principal") within the Information Technology and Security Internal Audit Department who will lead audits related to complex technology environment, business processes and support the strategic goals of the audit function. The Associate Principal Auditor is responsible for understanding the complexity of the IT and Security operations and aligning audits to relevant regulatory, IT, information security, operational, and strategic risks and presenting recommendations for improvements to senior leadership.

Responsibilities:

  • Ability to clearly articulate professional principles and standards (i.e., AICPA, IIA IPPF, COBIT, NIST CSF, etc.) 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.
  • Maintaining an understanding of policies, procedures, standards, and supporting technologies to effectively identify potential risks and creative alternatives to mitigate risk exposure.
  • Keeping current on leading practices and emerging risks in IT, information security, and cyber security within the financial services industry and making recommendations for improvements, as necessary.
  • Defining and leading the execution of audit projects in accordance to the annual audit plan. 
  • Owning the audit quality, accuracy of results, and delivery in a timely manner.
  • Providing oversight and coaching the internal team, both internal and/or co-sourced resources, confirming the delivery, quality, and auditee experience.
  • Planning, leading, and reporting for risk based special request audit assignments. 
  • Proactively identifying regulatory, IT, information security, operational, and/or strategic risks to the organization and deliver recommendations for improvements to senior leadership.
  • Identifying and analyzing root cause exceptions or inefficient practices and partnering with management provide advice and recommendations develop achievable solutions.
  • Developing, maintaining, and strengthening effective relationships with IT, business groups and leadership and partnering with management.
  • Serving as a liaison with external parties and regulators to facilitate timely and efficient external reviews, knowledge transfer, and controls and process education.
  • Perform other duties as assigned. 

Qualifications: 

  • Knowledge of 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).
  • Demonstrated ability to gather, analyze, and evaluate facts, and prepare and present concise oral and written reports.
  • Ability to communicate clearly and effectively, both orally and in writing, including the ability to handle potentially sensitive situations and discussions.
  • Ability to work independently or as part of a team, prioritizing multiple audit assignments to simultaneously complete each in a timely fashion.
  • Demonstrated leadership and coaching abilities of staff level resources.
  • Strong problem solving and analytical capabilities.
  • Strong proficiency using Archer or other audit or Governance Risk and Compliance (GRC) software.
  • Bachelor’s degree (or equivalent) in Information Technology, Accounting, Finance, Business Administration, or related field.
  • Experience working in a complex, fast paced environment required.
  • Consulting/accounting firm experience is a plus.
  • Experience in Financial Services/Security Industry and working with regulatory organizations such as: Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), and/or Financial Industry Regulatory Authority (FINRA)is a plus.
  • Demonstrated success in leading audit projects and implementing audit leading practices in a complex technology environment. 
  • Strong customer service and collaboration skills required.
  • Effective influence, analytical and verbal/written communication skills required.
  • Certified Information Systems Auditor (CISA), Certified Information Systems Security Professional (CISSP), Certification in Risk Management Assurance (CRMA), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or similar certification is a plus.
  • Minimum of two years of audit experience in conducting IT risk-based audits and projects, and IT process reviews.
See More
Apply Now
By clicking Apply Now you agree to share your profile information with the hiring company.

What are OCC Perks + Benefits

OCC Benefits Overview

Educational Assistance and Student Debt Forgiveness, 12-week paid parental leave, BYOD program with technology stipend up to $2,000 every three years, $35 per month pay to offset costs of mobile data plans. Open offices, online health coaching.

Culture
Volunteer in local community
Each year, OCC employees select a locally-based charitable organization for each of our three offices (Chicago, Dallas and Washington, D.C.). We offer multiple opportunities to get involved.
Partners with nonprofits
OCC Partners with local organizations in Dallas, Chicago and DC to raise funds and support their missions. Employees select the charity and are eligible for up to 8 hours of paid time to volunteer.
Open door policy
OKR operational model
Team based strategic planning
Open office floor plan
Flexible work schedule
OCC provides employees with a flexible work schedule that includes Flexible start and end times.
Remote work program
2 days per week work from home program
Diversity
Dedicated diversity and inclusion staff
Mandated unconscious bias training
Diversity employee resource groups
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Disability insurance
Dental insurance
Vision insurance
Health insurance
HSA or FSA accounts available for those enrolled in medical plans.
Life insurance
Wellness programs
Includes back-up child or elder care along with other wellness programs.
Mental health benefits
Financial & Retirement
401(K)
401(K) matching
OCC provides employees with a 401(k) matching plan managed by Fidelity. We match 50% of contributions up to 12% of an employee's annual gross pay.
Performance bonus
Charitable contribution matching
Child Care & Parental Leave Benefits
Generous parental leave
12-week paid parental leave
Vacation & Time Off Benefits
Generous PTO
OCC employees receive between 22 and 32 days per year of paid time off based on years of service.
Paid volunteer time
Sabbatical
Eligible employees get 30 days of paid sabbatical after their first 10 years of working at the company.
Paid holidays
Paid sick days
Office Perks
Commuter benefits
OCC Offers pre-tax commuter benefits for employees in Chicago and Washington, D.C.
Company-sponsored happy hours
Relocation assistance
OCC offers relocation assistance which varies based on the position level and location.
Home-office stipend for remote employees
Professional Development Benefits
Job training & conferences
OCC offers employees professional development opportunities including onsite training courses and the ability to attend job related certification courses, conferences and seminars.
Tuition reimbursement
Our tuition reimbursement plan offers an annual max of $10000.
Lunch and learns
OCC hosts leadership lunches on a regular basis so you can learn about your colleagues and their unique backgrounds.
Promote from within
Online course subscriptions available
Customized development tracks
Paid industry certifications
Employees are strongly encouraged to stay current in relevant technologies and supports certification programs.

Additional Perks + Benefits

We were recently recognized as one of LinkedIn's Top Company in Financial Services! Take a look at our blog post here: https://www.theocc.com/newsroom/press-releases/2022/06-23-linkedin-list…

More Jobs at OCC

Apply Now
By clicking Apply Now you agree to share your profile information with the hiring company.
Learn more about OCCFind similar jobs like this