Sr Compliance Officer at OCC
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
- 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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If you are called in for an interview, a representative from OCC will contact you to set up a date, time, and location.