The Principal of Investor Education is a multi-faceted role responsible for providing education to market participants about the products OCC clears by:
Developing, presenting, and managing various investor educational programs.
Collaborating on investor education with industry stakeholders and strategic partners to support educating current and potential investors in the listed U.S. options markets.
Supporting an investor education communications center for internal constituents, industry participants, and the public.
Primary Duties and Responsibilities:
To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.
Strategy & Education Development
Develop and execute a comprehensive strategy that will facilitate and support understanding and prudent use of exchange-listed options and add value to member firm and exchange relationships.
Identify and implement new technologies to support continuous improvement initiatives.
Implement a multi-tiered approach to reach and increase engagement with target audiences.
Oversee and participate in the development of Investor Education’s content strategy.
Lead the design, development, implementation, and management of all aspects of Investor Education content including but not limited to digital courses, webinars, website material, newsletters, and blogs.
Serve as a liaison between external consultants and third-party vendors for digital education development.
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.
Guide and 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 40% of the time.
Industry Collaboration & Investor Support
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 build and execute a strategy to engage and educate investors and financial advisors.
Respond to complex inquiries from investors, brokers, and others concerning advanced options, futures and/or clearing issues through various communications methods.
Support the daily operations of Investor Education’s communications center including responding to customer inquiries via phone, email, chat and maintaining quality and service standards.
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.
Provide regular status updates on progress against business goals to Investor Education management via written trip, meeting, and project reports.
Track and measure program performance and customer engagement through detailed program metrics and reporting.
Participate in various Investor Education meetings and conference calls.
Adhere to and manage approved budget with timely expense reporting.
Ensure compliance with all company-wide and departmental policies and procedures.
Perform periodic testing of key controls, non-key controls, and job aids to ensure policies and protocols are being properly followed. Review and update compliance documents as required.
Participate in corporate and departmental projects.
Participate in Disaster Recovery/Business Continuity activities and work from designated back-up location(s) or via VPN.
Perform other duties as assigned.
The position is based in either OCC’s Chicago or Dallas office.
Responsible for mentoring or coaching Investor Education staff members including product/market experts and other support staff.
Participate in the performance review cycle for staff members.
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.
Minimum 10 years financial services experience with a strong understanding of various investor segments including individual, financial advisor, and institutional.
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.
Extensive senior level network with market participants.
Effective communication, time management and organizational skills.
Effective public speaking skills and ability to convey complex concepts in an easy to understand manner.
Strong project management and collaboration skills.
Demonstrated ability to successfully manage multiple competing priorities in a fast-paced work environment.
Excellent customer service skills and ability to resolve client escalation issues.
Experience in creative design and understanding of digital learning best practices.
Strong work ethic, positive attitude, and professional demeanor.
Strong learning agility.
Proficient in Microsoft Office products (Word, PowerPoint and Excel).
Minimum 3 years experience with trading systems, platforms and tools.
3-5 years experience using customer relationship management (CRM) systems, Salesforce experience preferred.
Working knowledge of digital media platforms (webinar, podcast, etc.) leveraged to deliver educational content.
Proficient with social media and mobile platforms.
Proficient with digital learning authoring software such as Articulate 360.
Prior experience using content management systems (CMS) and learning management systems (LMS) to manage and support digital content delivery.
Education and/or Experience:
Undergraduate degree required and a graduate degree in finance, business or economics preferred.
10-15+ years of related work experience in financial services with an extensive background in trading and compliance is preferred.
Prior experience working at an options desk or on a trading floor preferred. Related options industry experience will be required.
Prior customer service experience.
Demonstrated experience presenting to large audiences in-person and online.
Certificates or Licenses:
CFA, CFP or previous FINRA license registrations preferred.