Senior Associate, Corporate Compliance

What You'll Do:

This role will report to the Manager, Corporate Compliance, 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 Policy Governance Policy, Conflicts of Interest, Code of Conduct and Contingent Worker Code of Conduct, Reported Concerns and Investigations programs and Electronic Communications Policy. 

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 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.  

• 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 Electronic Communications Policy program.

Supervisory Responsibilities:

• None

Qualifications:

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 trading and/ or trade monitoring.

• 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.

Technical Skills:

• My Compliance Office experience a plus.

• Excel

Education and/or Experience:

• Bachelor’s Degree or equivalent experience

• 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:

• N/A

About Us

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.

Benefits

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 2 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
• 401k Employer Match
• Competitive health benefits including medical, dental and vision

Visit https://www.theocc.com/careers/thriving-together for more information.

Compensation

• The salary range listed for any given position is exclusive of fringe benefits and potential bonuses. If hired at OCC, your final base salary compensation will be determined by factors such as skills, experience and/or education.
• In addition, we believe in the importance of pay equity and consider internal equity of our current team members as part of any final offer.
• We typically do not hire at the maximum of the range in order to allow for future and continued salary growth. We also offer a substantial benefits package as noted on www.theocc.com/careers
• All employees may be eligible for a discretionary bonus. Discretionary bonuses are based on various factors, including, but not limited to, company and individual performance and are not guaranteed.

Salary Range

Incentive Range

This position is eligible for an annual discretionary incentive compensation award, for which the target range is listed above (see Incentive Range). The amount of such award, if any, will be based on various factors, including without limitation, both individual and company performance.

Step 1
When you find a position you're interested in, click the 'Apply' button. Please complete the application and attach your resume.  

Step 2
You will receive an email notification to confirm that we've received your application.

Step 3
If you are called in for an interview, a representative from OCC will contact you to set up a date, time, and location. 

For more information about OCC, please click here.

OCC is an Equal Opportunity Employer