Compliance Specialist, Tester

| Chicago

Summary:

This role is an integral part of the Compliance Department and will interact frequently with OCC’s business departments. With oversight by the Department’s managerial staff, the Compliance Analyst will conduct Compliance testing, which will include, but not be limited to, reviewing remediation items prior to Internal Audit validation and the design and operating effectiveness of the internal control environment.

Primary Duties and Responsibilities:

General Responsibilities

  • Work directly with business units to support compliance related activities.
  • In conjunction with managers, develop comprehensive and sustainable solutions for business units to consider as part of their efforts to demonstrate compliance and operational resiliency.
  • Identify opportunities for increased effectiveness and efficiency in current compliance processes.
  • Review policy and procedure documentation for adherence to organizational requirements and regulatory impact.
  • Support department monitoring and assurance activities aligned to regulatory requirements and standards of conduct.
  • Perform other duties as assigned.

Compliance Testing Responsibilities

  • Review policies, procedures and controls for design and operating effectiveness resulting from regulatory changes, monitoring and metrics, management requests or other triggering events.
  • Test controls prior to implementation within OCC technology systems.
  • Partner with third line to understand requirements for remediating findings.
  • Review remediated findings submitted by business owners prior to third line validation.
  • Work with the Regulatory Compliance Advisory team to provide constructive feedback to business owners on reviewed findings and testing results.
  • Identify trends in testing and remediation gaps in order to highlight training or education opportunities.

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Technology we use

  • Engineering
    • .NETLanguages
    • C#Languages
    • C++Languages
    • JavaLanguages
    • JavascriptLanguages
    • PerlLanguages
    • PythonLanguages
    • RLanguages
    • RubyLanguages
    • ScalaLanguages
    • SqlLanguages
    • SwiftLanguages

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

Principal, 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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