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

Specialist, Regulatory Compliance

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Summary

The Specialist, Regulatory Compliance 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

Qualifications:

  • 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 1-3 years’ experience
  • 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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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.

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.
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.
Open door policy
OKR operational model
Team based strategic planning
Open office floor plan
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
Diversity
Dedicated diversity and inclusion staff
Mandated unconscious bias training
Diversity employee resource groups
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Disability insurance
Dental insurance
Vision insurance
Health insurance
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
Financial & Retirement
401(K)
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
Charitable contribution matching
Child Care & Parental Leave Benefits
Generous parental leave
12-week paid parental leave
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
Paid sick days
Office Perks
Commuter benefits
OCC Offers pre-tax commuter benefits for employees in Chicago and Washington, D.C.
Company-sponsored happy hours
Relocation assistance
OCC offers relocation assistance which varies based on the position level and location.
Home-office stipend for remote employees
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.
Lunch and learns
OCC hosts leadership lunches on a regular basis so you can learn about your colleagues and their unique backgrounds.
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…

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