Associate Principal, Investor Education (Options/Derivatives)

| Chicago


The Associate Principal of Investor Education is a multi-faceted role responsible for providing education to market participants about the products OCC clears by:

  • Supporting an investor education communications center for internal constituents, industry participants, and the public.

  • Developing and presenting various investor educational programs.

  • Collaborating on investor education with internal partners and industry stakeholders to support educating current and potential investors and internal colleagues about the listed U.S. options markets.

Primary Duties and Responsibilities:

Investor Communications Support

  • Respond to customer inquiries via phone, email and chat in a sincere, courteous, and professional manner, meeting or exceeding defined service levels.

  • Resolve trading complaints independently through explanation of complex facts and details; explain advanced product strategies, adjustments due to splits/mergers, etc.

  • Obtain investor/broker information and accurately enter the information to the database while communicating with caller, ensuring the integrity of the data.

  • Interact inter- and intra-departmentally to obtain information necessary to resolve customer issues as well as to share within the department for education and training.

  • Understand compliance communication standards and ensure that all communications adhere to those standards.

Education Content Development and Delivery

  • Contribute to the design, development, and implementation of all aspects of Investor Education content including but not limited to digital courses, webinars, website material, newsletters, and blogs.

  • Serve as an instructor for in-person and online presentations.

  • Represent Investor Education at in-person and virtual conferences, trade shows, and on panel discussions.

  • Critique sponsored research.

  • Support educational program marketing activities and business initiatives with other cross-functional teams.

  • Travel required for live presentations, conferences, meetings, etc. up to 25% of the time.

Industry Collaboration

  • Foster collaborative efforts with OCC member firms and participant exchanges.

  • Build and maintain a network of meaningful partnerships with various market segments including individual investors, financial advisors and institutions, with measurable results.

  • Collaborate with team members and respective committees to help build and execute a strategy to engage and educate investors and financial advisors.

  • Update and maintain customer and partner information in a customer relationship management (CRM) system.

  • Assist Investor Education marketing team on outreach strategies including event marketing, industry sponsorship, vendor contract management, content development or editorial review of collateral materials.


  • Effectively organize the workday to maximize productivity by utilizing proper time management techniques and adhering to the schedule.

  • Provide regular status updates on progress against business goals to Investor Education management via written trip, meeting and activity reports.

  • Participate in various Investor Education meetings, conference calls and projects.

  • Ensure compliance with all company-wide and departmental policies and procedures.

  • Participate in Disaster Recovery/Business Continuity activities and work from designated back-up location(s) or via VPN.

  • Participate in periodic testing of key controls, non-key controls and job aids to ensure policies and protocols are being properly followed. Help department proficiency by creating or updating Job Aids as necessary.

  • Perform other duties as assigned.

The position is based in OCC’s Chicago office.

Supervisory Responsibilities:

  • None


  • Extensive knowledge of options, futures, exchange markets, clearing process and the financial industry. Minimum of 5 years of industry experience.

  • Subject matter expert and experience trading options at a broker dealer or money management firm or supporting institutional options activity with a background in options price theory and strategies.

  • Ability to discuss options and futures product issues, strategies, order routing and exchange technology, corporate actions and split/merger announcements, complaints and other related industry topics. 

  • Ability to adapt to changing priorities.

  • Effective written and verbal communication, time management and organizational skills.

  • Effective public speaking skills and ability to convey complex concepts in an easy to understand manner.

  • Strong collaboration skills.

  • Excellent customer service skills and ability to resolve client escalation issues.

  • Experience in creative design and understanding of digital learning best practices preferred.

  • Strong work ethic, positive attitude and professional demeanor.

  • Strong learning agility.

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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.


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.

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
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) 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.
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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