Senior Associate, Corporate Compliance at OCC
All OCC employees are required to disclose their COVID-19 vaccination status to OCC’s Human Resources department, and provide acceptable proof of vaccination status, as applicable. In addition, OCC requires employees who enter one of its offices to be fully vaccinated against COVID-19 or submit to regular testing as a condition of employment, subject to reasonable accommodation.
The Options Clearing Corporation (OCC) is the world's largest equity derivatives clearing organization. Founded in 1973, OCC is dedicated to promoting stability and market integrity by delivering clearing and settlement services for options, futures and securities lending transactions. As a Systemically Important Financial Market Utility (SIFMU), OCC operates under the jurisdiction of the U.S. Securities and Exchange Commission (SEC), the U.S. Commodity Futures Trading Commission (CFTC), and the Board of Governors of the Federal Reserve System. OCC has more than 100 clearing members and provides central counterparty (CCP) clearing and settlement services to 19 exchanges and trading platforms. More information about OCC is available at www.theocc.com.
What We Offer
A highly collaborative and supportive environment developed to encourage work-life balance and employee wellness. Some of these components include:
A hybrid work environment, up to 3 days per week of remote work
Tuition Reimbursement to support your continued education
Student Loan Repayment Assistance
Technology Stipend allowing you to use the device of your choice to connect to our network while working remotely
Generous PTO and Parental leave
Competitive health benefits including medical, dental and vision
What You'll Do
This role will report to the Executive Director, Assurance and Monitoring, and will assist in the development, facilitation, and execution of the programs that make up OCC’s corporate compliance environment. This includes, but is not limited to, assisting in the execution of the Conflicts of Interest, Code of Conduct and Contractor Code of Conduct, Reported Concerns and Investigations, and Policy Governance Policy programs.
Primary Duties and Responsibilities:
To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.
• Assist in the facilitation and execution of the Conflicts of Interest program, including on-boarding of new employees, training of new and seasoned employees, and the monitoring of employees for violations of the Conflicts of Interest Monitoring Procedure. This may include, but is not limited to, disclosures, trading activity, waivers, questionnaires, escalations, and the issuance of violations.
• Assist in the facilitation of the OCC Code of Conduct and Contractor Code of Conduct programs, including training of new and seasoned employees/contractors.
• Assist in the facilitation and execution of the Policy Governance Policy program, including, but not limited to, pre-publishing review, regulatory documents review, monitoring for overdue PGP documents, conducting training and monitoring, reporting, escalation, and the issuance of violations.
• Not applicable
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.
• Familiarity with compliance training and policy and procedure governance.
• Understanding of the role and importance of policies and procedures within the organization.
• Strong analytical skills with the ability to apply judgement to provide efficient and effective solutions, and to analyze all collected data to garner useful results.
• Excellent written and oral communication skills and the ability to interact with various departments to successfully collect needed information.
• Ability to adapt quickly to changing priorities, environment constraints, and project deadlines.
• Ability to manage multiple efforts concurrently.
• Spreadsheet expertise (i.e. Excel)
• Documentation expertise (i.e. Word)
• Presentation experience (i.e. PowerPoint and Publisher)
• Archer, Schwab Technology Solutions and/or PolicyTech experience, a plus
Education and/or Experience:
• Bachelor’s Degree in Business, Human Resources, or other applicable area.
• 1-3 years related experience
• Familiarity with policies and procedures within an organization
• Experience identifying process improvements
• Experience in project planning and reporting results
• Experience managing multiple projects simultaneously
Certificates or Licenses:
• Not Applicable