Senior Associate, Corporate Compliance

***** THIS POSITION IS NOT ELIGIBLE FOR VISA SPONSORSHIP
***** To be considered for this position, applications and resumes are accepted only through our careers site by directly applying to the posted job. We do not accept unsolicited resumes or sales solicitations from staffing agencies. Any OCC employee wishing to submit a referral must do so through their Workday account. Any resume submitted outside of an active job posting will not be considered for employment.

What You'll Do:

This role will report to the Director, 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:

N/A

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 experience1-3 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/AAbout UsThe 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 counter party (CCP) clearing and settlement services to 19 exchanges and trading platforms. More information about OCC is available at  highly collaborative and supportive environment developed to encourage work-life…