Associate Principal, Internal Audit Information Technology & Security

| Chicago
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The Options Clearing Corporation (OCC), the world’s largest equity derivatives clearinghouse, is seeking an Associate Principal, Internal Audit Information Technology & Security who will lead audits related to complex technology environment, business processes and support the strategic goals of the audit function. The Associate Principal is responsible for understanding the complexity of the IT and Security operations and aligning audits to relevant regulatory, IT, information security, operational, and strategic risks and presenting recommendations for improvements to senior leadership.

Responsibilities:

  • Ability to clearly articulate professional principles and standards (i.e., AICPA, IIA IPPF, COBIT, NIST CSF, etc.) and the relevancy to risk management and impact on policies and procedures. In addition, leveraging these principles and standards to test and evaluate corporate risk management processes and controls.
  • Maintaining an understanding of policies, procedures, standards, and supporting technologies to effectively identify potential risks and creative alternatives to mitigate risk exposure.
  • Keeping current on leading practices and emerging risks in IT, information security, and cyber security within the financial services industry and making recommendations for improvements, as necessary.
  • Defining and leading the execution of audit projects in accordance to the annual audit plan. 
  • Owning the audit quality, accuracy of results, and delivery in a timely manner.
  • Providing oversight and coaching the internal team, both internal and/or co-sourced resources, confirming the delivery, quality, and auditee experience.
  • Planning, leading, and reporting for risk based special request audit assignments. 
  • Proactively identifying regulatory, IT, information security, operational, and/or strategic risks to the organization and deliver recommendations for improvements to senior leadership.
  • Identifying and analyzing root cause exceptions or inefficient practices and partnering with management provide advice and recommendations develop achievable solutions.
  • Developing, maintaining, and strengthening effective relationships with IT, business groups and leadership and partnering with management.
  • Serving as a liaison with external parties and regulators to facilitate timely and efficient external reviews, knowledge transfer, and controls and process education.
  • Perform other duties as assigned. 

Qualifications: 

  • Knowledge of the principles, practices, and techniques involved in conducting audits in accordance with the requirements set forth in the International Standards for the Professional Practice of Internal Auditing published by the Institute of Internal Auditors (IIA).
  • Demonstrated ability to gather, analyze, and evaluate facts, and prepare and present concise oral and written reports.
  • Ability to communicate clearly and effectively, both orally and in writing, including the ability to handle potentially sensitive situations and discussions.
  • Ability to work independently or as part of a team, prioritizing multiple audit assignments to simultaneously complete each in a timely fashion.
  • Demonstrated leadership and coaching abilities of staff level resources.
  • Strong problem solving and analytical capabilities.
  • Strong proficiency using Archer or other audit or Governance Risk and Compliance (GRC) software.
  • Bachelor’s degree (or equivalent) in Information Technology, Accounting, Finance, Business Administration, or related field.
  • Experience working in a complex, fast paced environment required.
  • Consulting/accounting firm experience is a plus.
  • Experience in Financial Services/Security Industry and working with regulatory organizations such as: Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), and/or Financial Industry Regulatory Authority (FINRA)is a plus.
  • Demonstrated success in leading audit projects and implementing audit leading practices in a complex technology environment. 
  • Strong customer service and collaboration skills required.
  • Effective influence, analytical and verbal/written communication skills required.
  • Certified Information Systems Auditor (CISA), Certified Information Systems Security Professional (CISSP), Certification in Risk Management Assurance (CRMA), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or similar certification is a plus.
  • Minimum of two years of audit experience in conducting IT risk-based audits and projects, and IT process reviews.

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Technology we use

  • Engineering
    • .NETLanguages
    • C#Languages
    • C++Languages
    • JavaLanguages
    • JavascriptLanguages
    • PerlLanguages
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    • SwiftLanguages

Location

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.

Yemi

Principal, 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.

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 stand up
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
Our employees receive 8 hours per year of 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
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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