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

Executive Principal, Associate General Counsel and Assistant Secretary at OCC (Chicago, IL)

| Chicago
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The Executive Principal, Associate General Counsel and Assistant Corporate Secretary will work closely with the Board, Chief Executive Officer, Chief Legal Officer and other senior officers, as applicable, to tailor the Board’s governance framework to fit OCC’s and its directors’ needs. Support the Board in carrying out its fiduciary duties. Help ensure compliance with governance requirements in Delaware corporate law and applicable regulatory standards.

  • Work closely with the Deputy General Counsel and Corporate Secretary to develop, maintain, and revise Board agendas, Board-level committee agendas, and management-level agendas consistent with corporate requirements in charters, corporate governance principles, or By-Laws.
  • Set Board, Board-level committee, and management-level committee meeting schedules and ensure compliance with applicable Delaware corporate law, charter requirements, and regulatory standards.
  • Review Board presentation materials for adequacy, consistency (across reporting and with respect to prior reports), user-friendliness, and overall quality. Ensure that presentation materials are provided to appropriate senior officers for review and to Board or Board-level committee for consideration with sufficient time to permit close review and efficient discussion of materials at the Board meeting.
  • Attend Board and Board-level committee meetings, as necessary, and draft, distribute, and maintain Board and Board-level committee meeting minutes. Oversee process by which management-level committee meetings are minuted.
  • Oversee annual governance processes to confirm annual requirements were met.
  • Manage Annual Stockholder Meeting processes and oversee preparation of Stockholder documentation.
  • Oversee the corporate registration processes for the company.
  • Assist with the oversight of internal governance processes within the company.
  • Provide general advice with respect to corporate governance matters to directors and senior officers both inside and outside of Board meetings, including with respect to director fiduciary obligations.
  • Facilitate Director on-boarding and resignation processes.
  • Maintain and update director orientation materials and ensure directors are notified of director development, training, and educational opportunities. 
  • Prepare and maintain materials for the annual Board and committee self-evaluations and prepare director skill matrices.
  • Review Board independence and other director qualifications issues per Delaware corporate governance and applicable regulatory standards and consult regarding potential conflicts-of-interest.
  • Review and revise as appropriate Board and Board-level committee charters annually.
  • Liaise with regulators, auditors, and others on corporate governance matters.
  • Perform other duties as assigned.

Qualifications/Education/Technical Skill:

  • Prior experience in securities and commodity laws and regulations.
  • Prior experience working with regulatory agencies and familiarity with regulations under Dodd-Frank and other applicable financial regulations preferred.
  • Thorough understanding of Delaware corporate law, preferred.
  • Experience in corporate governance with a regulated entity, particularly a self-regulatory organization with the US Securities and Exchange Commission, preferred.
  • Excellent analytical and problem-solving skills
  • Ability to manage medium to high complexity matters with a significant degree of independence.
  • Ability to expeditiously identify and assess issues and provide legally sound recommendations consistent with good business practices and reason.
  • Excellent interpersonal and communication skills.
  • Excellent writing skills.
  • Detail-oriented, flexible, and creative.
  • Well-organized and capable of handling several substantial assignments at the same time.
  • Self-starter with ability to work independently as well as on a team and to quickly shift priorities in response to changing business environment or priorities.
  • Ability to work collaboratively, including through effective communication, with internal clients from different departments at various levels of seniority.
  • Ability to promptly produce high-quality, accurate, and detailed work product.
  • Microsoft Office (Excel, Word)
  • 8-10 years of relevant experience at a law firm or corporate in-house position.
  • Juris Doctor or equivalent degree from a law school accredited by the American Bar Association.
  • Bachelor’s degree from accredited college or university.
  • Admitted to practice law in Illinois.

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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
    • .NETLanguages
    • C#Languages
    • C++Languages
    • JavaLanguages
    • JavascriptLanguages
    • PerlLanguages
    • PythonLanguages
    • RLanguages
    • RubyLanguages
    • ScalaLanguages
    • SqlLanguages
    • SwiftLanguages
    • ReactLibraries
    • AngularJSFrameworks
    • Ruby on RailsFrameworks
    • SpringFrameworks

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.
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
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Disability Insurance
Dental Benefits
Vision Benefits
Health Insurance Benefits
Life Insurance
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 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
Eligible employees get 30 days of paid sabbatical after their first 10 years of working at the company.
Paid Holidays
Paid Sick Days
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 $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.

Additional Perks + Benefits

We were just recognized as a best place to work for working parents! Take a look at our blog post here: https://www.theocc.com/Newsroom/Views/2021/04-26-OCC-Designated-as-Best…

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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