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

Associate Principal, IT Governance

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Summary:

This role will be responsible for the development, implementation and oversight of programs within IT. Ensures the overall effectiveness and adherence to the governance framework and ongoing evaluation of IT’s internal control environment. A member of a high performing team responsible for risk and control self-assessments, identifying control failures, facilitating risk, compliance remediation, and monitoring the first line of defense in an effort to minimize risk exposures and strengthen IT’s overall control environment. The ability to build and maintain working relationships with both business and technology teams and second- and third-line partners will be critical to success, as will having a compliance and continuous improvement mindset.

Essential Duties and Responsibilities: 

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

• Provide expertise in the design, development, and implementation into IT’s system of internal controls which includes policies, procedures, and controls of IT processes.

• Assist in conducting process gap analyses of controls to key regulations, mapping to industry standards and develop continuous compliance monitoring in order to provide assurance that IT processes are operating according to the principles embedded in relevant industry standards (COBIT).

• Build relationships and practice effective collaboration with stakeholders across partner teams in understanding the impact of changes to the IT environment and processes. Point of contact for IT process improvements, relevant regulatory authorities, Compliance, Enterprise Risk Management and Internal Audit teams addressing concerns and removing roadblocks to drive forward.

• Partner with Business Process Reengineering team, product teams and process owners to support IT process improvement/reengineering efforts based on recommended solutions. Support the implementation, operation, and continuous process improvement of IT’s governance structure that organizes, formalizes, and regulates changes to the IT environment.

• Maintain an awareness of emerging IT GRC best practices to support the department’s goals and strategic direction.

• Analyze processes; identify alternative solutions, and recommends new approaches, seeking to exploit automation and drive technology requirements

• Effectively collaborate with stakeholders in the design, development and implementation of key performance indicators (KPIs) and dashboards to monitor, maintain accurate and timely visibility into the status of the IT processes, remediation, and compliance efforts. Provide transparency of performance to the IT environment.

• Advise process owners on identified issues, support for regulatory exams, audit engagements and inquiries, review materials for examinations and monitor the resolution of regulatory examination and internal audit findings.

• Assist in remediation planning and tracking of remediation efforts with stakeholders

• Perform other duties as assigned. 

Supervisory Responsibilities:

• This role does not have direct reports but may provide supervision to multiple cross-organizational teams within IT.

Qualifications: 

The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

 • Broad range of knowledge and experience with IT processes and operating in a highly cross-functional environment.

• Demonstrated exposure to process improvement initiatives

• Knowledge and experience with IT audits and exams.

• Working knowledge and experience of IT control frameworks and industry standards such as COBIT, NIST Cybersecurity Framework (CSF), or similar industry-accepted standards and the principles embedded within them.

• Demonstrated ability to develop policies and supporting documentation for programs

• Have strong analytical, problem solving, and collaborative skills with the ability to exercise mature and timely judgment and decision-making.

• Deep understanding of the technical domains and processes and good understanding of legal/regulatory requirements.

• Experience working with Agile methods.

• Ability to manage multiple priorities and to effectively adapt to rapid changing needs with demonstrated ability to prioritize projects and workload. Ability to manage across multiple competing priorities and time-sensitive initiatives.

• Excellent Interpersonal skills, verbal & written

• Experience with Business Process Modeling (BPM) a plus

• Knowledge and experience with Cloud migration a plus

Technical Skills:

• Excellent MS Office Suite skills (Word, PowerPoint, etc.)

• JIRA/ Confluence experience a plus

• Performance measurement tools such as Tableau and other similar tools a plus

• Integrated GRC management solutions such as Archer a plus

Education and/or Experience: 

• Bachelor’s Degree in Information Systems, Business Management or related field 

• Minimum of 7 years of relevant work experience 

Certificates or Licenses:

None required but preferred certificates include any of the following:

• Control Evaluation / Auditing / Examination: CIA, CISA, CFSA, CFE

• Risk Management: CRMA, CRISC

• Governance of Enterprise IT / InfoSec: CGEIT, CISM, CISSP

• Product/Project Management Framework: Agile/Scrum

• Process Management: Lean, Six Sigma, ITIL

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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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