We clear and settle trades for the options industry.
Chicago, IL

Principal, Investor Education at OCC (Chicago, IL)

| Chicago
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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.

Supervisory Responsibilities:

  • 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.

Technical Skills:

  • 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.

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Where we are

Adjacent to the Willis Tower, close to CTA, Metra and expressways with plenty of food and entertainment options nearby.

Technology we use

  • Engineering
    • C#Languages
    • C++Languages
    • JavaLanguages
    • JavascriptLanguages
    • PerlLanguages
    • PythonLanguages
    • RLanguages
    • RubyLanguages
    • ScalaLanguages
    • SqlLanguages
    • SwiftLanguages
    • ReactLibraries
    • Ruby on RailsFrameworks
    • SpringFrameworks
    • Microsoft SQL ServerDatabases

What are OCC Perks + Benefits

OCC Benefits Overview

Educational Assistance and Student Debt Forgiveness, 12-week paid parental leave, BYOD program with technology stipend up to $2,000 every three years, $35 per month pay to offset costs of mobile data plans. 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.
Partners with Nonprofits
OCC Partners with local organizations in Dallas, Chicago and DC to raise funds and support their missions. Employees select the charity and are eligible for up to 8 hours of paid time to volunteer.
Friends outside of work
Daily sync
Open door policy
Team owned deliverables
Team based strategic planning
Open office floor plan
Dedicated Diversity/Inclusion Staff
Unconscious bias training
Diversity Employee Resource Groups
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Disability Insurance
Dental Benefits
Vision Benefits
Health Insurance Benefits
HSA or FSA accounts available for those enrolled in medical plans.
Life Insurance
Wellness Programs
Includes back-up child or elder care along with other wellness programs.
Mental Health Benefits
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 12% 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.
Remote Work Program
2 days per week work from home program
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
Eligible employees get 30 days of paid sabbatical after their first 10 years of working at the company.
Paid Holidays
Perks & Discounts
Casual Dress
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 $10000.
Diversity Program
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.

Additional Perks + Benefits

We were recently recognized as one of LinkedIn's Top Company in Financial Services! Take a look at our blog post here: https://www.theocc.com/newsroom/press-releases/2022/06-23-linkedin-list…

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.


Executive Director, Talent Acquisition

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