Manager, Internal Audit Operations

| Chicago

The Manager, Internal Audit Operations will support OCC’s Internal Audit team in overseeing the execution, escalation, and completion of the portfolio of audits, validation, and department special projects. This individual will focus on confirming that the department delivers its commitments on time and within the assigned budget. The Manager will also own and be accountable for all IAD Operations processes: Audit Committee Reporting, policy and procedure documentation maintenance, employee and co-source resource onboarding, and departmentwide training delivery (content will be developed by the department) and execute the annual external co-source provider assessment.

  • Manage the process of tracking the portfolio of audits against estimated budgets (hours), actual hours incurred, and overall progress tracking and reporting. Escalate challenges to IAD leadership related resource management and scheduling.
  • Maintain the department policy and procedure documents, including required annual review and updates and ad-hoc improvements guided by IAD leadership.
  • Manage the relationship with IAD co-source provider, coordinating all onboarding and offboarding requirements and monitoring and reporting on co-source budget performance.
  • Support Audit Committee (AC) reporting, managing the workflow to collect and produce the required presentation decks and coordinating with Corporate Secretary to publish materials to the AC timely.
  • Overall management of the IAD budgeting process, coordinating with IAD leadership for creation of annual budgets and tracking expenses and reporting as needed to support IAD deliver its commitments within the designated budget.
  • Drive continuous improvement in the IAD operations by identifying, proposing, and executing on IAD operations process improvements.
  • Report IAD’s Key Performance Indicators (KPI) and maintaining those metrics and proposing and creating new KPIs as needed.
  • Assist with the administration and production of regulatory requests.
  • Support development of the team’s audit skills through annual skills assessment.
  • Support IAD training and certification efforts including registration, logistics, and tracking.
  • Administer customer satisfaction surveys at the conclusion of each audit and report the results to the audit team and IAD leadership.
  • Provide supervision, coaching and development to the IAD Operations team employees reporting to this position.

Qualifications/Technical Skills/Education:

  • Project Management skills or equivalent work experience (PMP certification a plus).
  • Demonstrated ability to gather, analyze, evaluate facts, and prepare and present concise oral and written reports.
  • Ability to communicate clearly and effectively, both orally and in writing, including the ability to handle potentially sensitive situations and discussions.
  • Ability to work independently or as part of a team, prioritizing multiple assignments simultaneously to complete each in a timely fashion.
  • Demonstrated leadership and coaching abilities of staff level resources.
  • Strong problem solving and analytical capabilities.
  • Experience working in a complex, fast paced environment.
  • Experience in Financial Services/Security Industry and working with regulatory organizations such as: Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), Federal Reserve preferred.
  • Experience working within an Internal Audit function preferred.
  • Advanced Microsoft Office Suite (Excel, PowerPoint, Visio, and Word) skills.
  • Knowledge of the principles, practices, and techniques involved in conducting audits in accordance with the requirements set forth in the International Standards for the Professional Practice of Internal Auditing published by the Institute of Internal Auditors (IIA) preferred.
  • Strong proficiency using Archer or other audit or GRC software preferred.
  • Knowledge of Tableau, ACL, or other data visualization or reporting tools preferred.
  • Bachelor’s degree (or equivalent) in Business, Project Management, or related field.

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Location

Adjacent to the Willis Tower, close to CTA, Metra and expressways with plenty of food and entertainment options nearby.
Why Open Communication and Transparency From the Top Matter to This OCC Leader
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An Insider's view of OCC

What are some social events your company does?

Monthly happy hours and cultural celebrations to honor our diverse workforce.

Andre

Executive Director, Talent Acquisition

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 sync
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
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
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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