Compliance Analyst

| Chicago

Summary 

Provides execution and oversight for the programs that oversee compliance with OCC’s regulatory and internal control environment. This includes, but is not limited to, the monitoring and surveillance, management self-testing, and quarterly managements attestations. The regulatory and internal control environment includes the overall risk and governance frameworks, policies/procedures, regulatory obligations and the supporting processes, programs, and internal controls.

Primary Duties and Responsibilities: 

To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.

• Analyze, report, and present the outputs of the compliance monitoring and assurance programs.

• Review outputs from compliance monitoring and assurance program for potential areas of regulatory and operational risk, including root cause analysis.

• In coordination with other members of the department, develop and execute tools, reports, process and procedures and reports supporting the compliance monitoring and assurance programs. 

• Ensure the monitoring and assurance programs are geared towards adherence to the regulatory compliance and legal framework, enterprise risk and control framework, and relevant policies and procedures

• Support the coordination of internal and external audits

• Facilitate the management self-testing and attestation programs

• Support aspects of program planning and prioritization.

• Assist in the coordination of compliance activities across compliance department, driven by outputs of the monitoring and assurance programs. 

• Coordinate efforts across all three lines of defense to maximize efficiency and effectiveness

• Perform other duties as assigned

Supervisory Responsibilities:  N/A

Qualifications: 

The requirements listed are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the primary functions.

• 2-3+ years experience working in a highly regulated financial securities environment

• 2-3+ years experience applying industry frameworks

• Familiarity with compliance monitoring and surveillance practices a plus

• Familiarity with internal controls, audit and assurance practices, SOC experience a plus

• Familiarity with central counterparties, capital markets and/or the options industry a plus

• Excellent written and oral communication skills and the ability to interact with various departments to successfully collect needed information

• Possesses strong analytical and critical thinking skills with the ability to apply judgment to provide efficient and effective solutions, and to analyze all collected data to garner useful results. 

• Ability to prepare informative and concise reports depicting the current situation and historical trends

• Ability to adapt quickly to changing priorities, environment constraints, and project deadlines

• Ability to manage multiple efforts concurrently

Technical Skills:

• Spreadsheet expertise a plus (i.e. Excel)

• Documentation expertise a plus(i.e. Word)

• Presentation expertise a plus (i.e. PowerPoint, Word, and Publisher)

• Business Intelligence tool experience (i.e. Tableau), a plus

• eGRC experience (specifically RSA Archer), a plus

Education and/or Experience:

• Bachelor’s Degree in Business, Information Systems, Computer Science, or a related discipline. 

• 2-3+ years related experience in compliance, audit, or risk

• 2-3+ years financial services experience a plus 

Certificates or Licenses:  Not Required


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Location

Adjacent to the Willis Tower, close to CTA, Metra and expressways with plenty of food and entertainment options nearby.

An Insider's view of OCC

What are some social events your company does?

Monthly happy hours, summer and winter outings and cultural celebrations to honor our diverse workforce.

Yemi

Director, Diversity and Inclusion

What are OCC Perks + Benefits

OCC Benefits Overview

Educational Assistance and Student Debt Forgiveness, 12-week paid parental leave, technology stipend up to $2,000, mobile data reimbursement of $35 per month. 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.
Friends outside of work
Daily stand up
Open door policy
Team owned deliverables
Team based strategic planning
Open office floor plan
Diversity
Dedicated Diversity/Inclusion Staff
Someone's primary function is managing the company’s diversity and inclusion initiatives
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Disability Insurance
Dental Benefits
Vision Benefits
Health Insurance Benefits
Life Insurance
Wellness Programs
Retirement & Stock Options Benefits
401(K)
401(K) Matching
OCC provides employees with a 401(k) matching plan managed by Fidelity. We match 50% of contributions up to 6% of an employee's annual gross pay.
Performance Bonus
Match charitable contributions
Child Care & Parental Leave Benefits
Flexible Work Schedule
OCC provides employees with a flexible work schedule that includes Flexible start and end times.
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
Our employees receive 8 hours per year of paid volunteer time.
Sabbatical
Eligible employees get 30 days of paid sabbatical after their first 10 years of working at the company.
Paid Holidays
Perks & Discounts
Commuter Benefits
OCC Offers pre-tax commuter benefits for employees in Chicago and Washington, D.C.
Happy Hours
Happy hours are hosted Once per month.
Relocation Assistance
OCC offers relocation assistance which varies based on the position level and location.
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 $1000.
Lunch and learns
OCC hosts leadership lunches on a regular basis so you can learn about your colleagues and their unique backgrounds.
Cross functional training encouraged
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.
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