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