Summary

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.

Administrative

• 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

Qualifications:

• 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.