Associate Principal, Compliance Monitoring at OCC

| Chicago
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Summary

Associate Principal, Compliance Monitoring

This role will report to the Director, Compliance Monitoring, and will assist in the development, facilitation, and execution of monitoring, surveillance, and risk identification tools within the Compliance Assurance and Monitoring team. These tools will be leveraged by Compliance in order to provide insightful reporting to management stakeholders, the Chief Compliance Officer, the Board of Directors, and regulators. This is a technical position, and qualified candidates should have experience developing technological solutions for automating monitoring, surveillance, and reporting activities. The role will additionally be responsible for identifying new data sets throughout the organization which can used by Compliance to meet its monitoring needs.

Primary Duties and Responsibilities:

To perform this job successfully, an individual must be able to perform each primary duty satisfactorily

  • Build monitoring, surveillance, and risk identification dashboards.

  • Provide statistical and trending data related to monitoring tools to relevant stakeholders.

  • Assess existing technologies and data sets and determine how they can best be used to drive analyses and inform decision-making for Compliance.

  • Define technical requirements to create monitoring tools, and then work to capture, facilitate, and execute upon those requirements.

  • Automate process for sourcing data feeds.

  • Run queries and reports from data sources.

  • Assist in the design and development of automated and sustainable reporting for a variety of audiences including management, the Chief Compliance Officer, the Board of Directors, and regulators.

  • Escalate issues to the Director, Compliance Monitoring, as needed.

  • Other duties, as assigned.

Supervisory Responsibilities:

N/A

Qualifications:

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.

  • Experience building dashboards in Tableau, or similar monitoring tool.

  • Experience with data extraction from source systems.

  • Experience working with and analyzing complex data sets and structures.

  • Strong working knowledge of compliance best practices and regulated environments.

  • Understanding of the role and importance of internal controls within the organization.

  • Excellent organizational and communication skills.

  • Ability to work across teams and with varying subject matter experts to develop requirements and to obtain and analyze data.

  • Ability to manage and prioritize assignments and respond to rapidly shifting priorities.

  • Ability to work independently and as a member of a team.

  • Ability to work under deadlines and manage multiple tasks simultaneously.

  • Working knowledge of securities and commodities rules and regulations, preferred.

Technical Skills:

  • Experience building reporting, monitoring, and surveillance tools required.

  • SQL knowledge required.

  • Experience with Archer eGRC, preferred.

  • Proficient in MS Office software and web-based reporting tools.

  • Understanding of statistics/modeling and experience applying these concepts in a business environment.

  • Experience with BI/analytics reporting tools, specifically Tableau.

  • Experience working with analytics/reporting technology and underlying databases.

Education and/or Experience:

  • 3-5 years of quantitative analysis/data analytics/business intelligence roles required.

  • At least 2 years of financial industry experience, preferred.

  • At least 2 years working directly with and in coordination with compliance personnel, preferred.

  • Bachelor’s Degree in Computer Science, Information Systems, Economics, Finance, or related discipline required.

Certificates or Licenses:

N/A

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Technology we use

  • Engineering
    • .NETLanguages
    • C#Languages
    • C++Languages
    • JavaLanguages
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    • PerlLanguages
    • PythonLanguages
    • RLanguages
    • RubyLanguages
    • ScalaLanguages
    • SqlLanguages
    • SwiftLanguages

Location

Adjacent to the Willis Tower, close to CTA, Metra and expressways with plenty of food and entertainment options nearby.
Why Open Communication and Transparency From the Top Matter to This OCC Leader
Watch

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.

Andre

Executive Director, Talent Acquisition

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.

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.
Friends outside of work
Daily sync
Open door policy
Team owned deliverables
Team based strategic planning
Open office floor plan
Diversity
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)
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
Sabbatical
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
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…

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