Sr Compliance Officer at OCC

| Chicago
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Job Details:


This position can be based in Chicago or Dallas, TX.


The Compliance Department is organized into two functional areas, with each having a distinct role in carrying out the department’s mission in a highly regulated environment.  This role will report to the Manager, Assurance and Monitoring and will provide execution and oversight for the programs that oversee compliance with OCC’s regulatory and internal control environment, specifically for the IT and Security departments and OCC.  This includes, but is not limited to, facilitating the management self-testing program and quality assurance, facilitating quarterly attestations, and providing business inputs and reviewing outputs of the Compliance monitoring program. 

  • Facilitate of the management self-testing program for IT and Security department, including drafting of test plans, launching campaigns, reviewing of results and reporting on program.
  • In coordination with other members of the department, develop and execute tools, reports, process and procedures and reports for the Compliance Monitoring program
  • Review outputs from Compliance Monitoring program for potential areas of regulatory and operational risk as it relates to the IT and Security departments
  • Facilitate, review and report on the company’s control attestation program
  • Monitor production problems/incidents for impact to organizational processes and controls
  • Collect data to identify root cause of problems, and escalate potential issues as necessary
  • Coordinate process and control efforts with control groups to maximize efficiency and effectiveness
  • Report on output of programs to stakeholders, senior management and the board
  • Produce effective reports on the processes and control activity, improvement efforts, as well as current effectiveness of controls
  • Produce and deliver education on Internal Control Framework and Process Management Program
  • Deliver presentations and training courses including measurement, analysis, improvement and control
  • Escalate issues to the Manager, Assurance and Monitoring, FVP Assurance and Monitoring and the Chief Compliance Officer, as needed
  • Perform other duties as assigned


Qualifications/Technical Skills/Education:

  • Experience and understanding from working in highly regulated environments, particularly Regulation SCI and CCA (Covered Clearing Agency) and OCC Rules and By-Laws
  • Possesses proficiencies with the use of risk and control frameworks for IT and Security (e.g. COBIT, COSO, NIST, ITIL, ISO 27001, ISO 9001, CMMI)
  • Strong background and knowledge in process management, including familiarity with issue management or audit best practices
  • Understanding of the role and importance of internal controls within the organization
  • SOC experience and/or knowledge of COSO preferred
  • Strong analytical skills with the ability to apply judgment to provide efficient and effective solutions, and to analyze all collected data to garner useful results.
  • Ability to prepare informative and concise reports depicting the current situation and historical trends
  • Understanding of the options industry and OCC operational and support areas.
  • 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
  • Graphical/Charting expertise (i.e. Visio)
  • Spreadsheet expertise (i.e. Excel).
  • Documentation expertise (i.e. Word)
  • Presentation experience (i.e. PowerPoint, Word, and Publisher)
  • Reporting experience (i.e. Tableau), preferred
  • eGRC experience (specifically RSA Archer), preferred
  • Bachelor’s Degree in Information Systems, Computer Science, Business, or a related discipline.
  • 5+ years related experience in IT, Information Security, IT Compliance, IT Risk Management or IT Audit related field
  • Financial services experience preferred
  • CISA or other related certification, preferred.


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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.


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.

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
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) 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
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.
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