Compliance Officer – Regulatory Compliance Advising

| Chicago


The Compliance Officer will support the Regulatory Compliance Advisory team in ensuring OCC’s business units demonstrate compliance with regulatory obligations. Primary responsibilities include assisting the Regulatory Compliance Advising team with maintaining OCC’s legal framework, advising business units on remediating regulatory and Internal Audit findings, and reviewing company policies, procedures, and controls.

Primary Duties and Responsibilities:

  • Perform reviews of OCC’s legal framework, including updating referenced policies, procedures, and controls that evidence compliance with regulatory obligations
  • Assist with remediating regulatory and Internal Audit findings, including collecting data to identify root cause of problems, identifying trends, formulating solutions, and escalating potential issues as necessary
  • Create and update compliance posture reports related to OCC’s legal framework and communicate summary information to business units
  • Advise OCC’s business units on developing and maintaining processes and controls to mitigate identified risks
  • Produce business process flow diagrams and associated controls in alignment with business unit procedures
  • Recommend improvements to policies, procedures, and controls to enhance OCC’s risk control environment
  • Communicate changes in OCC’s risk control environment that may have an impact on OCC’s regulatory compliance posture to senior management
  • Learn, develop, and maintain compliance knowledge through practical experience and ongoing training
  • Perform ad-hoc duties for Compliance management as necessary


  • Outstanding communication skills, both verbal and written
  • Strong attention to detail and analytical skills, including data analytics and reporting
  • Ability to present ideas clearly and think creatively
  • Ability to manage multiple tasks/projects simultaneously
  • Ability to respond to shifting priorities and manage deadlines
  • Strategic thinker, with strong conceptual and problem-solving skills

Technical Skills:

  • Proficiency with Microsoft Office Suite, including Word, Excel, and PowerPoint
  • Experience using an integrated risk management system (such as RSA Archer Suite) a plus
  • Experience using NAVEX Global PolicyTech a plus
  • Business Intelligence tool experience (i.e. Tableau), a plus

Education and/or Experience:

  • Bachelor's Degree in Accounting, Business, Economics, Finance, or other business and finance-related discipline
  • Minimum of 2-3 years’ experience performing risk and control activities in the financial services industry
  • Experience working in compliance, audit, or risk for a financial services company a plus
  • Familiarity with the Securities Exchange Act of 1934 and the Commodity Exchange Act a plus

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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.


Director, 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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