Senior Associate, Compliance Monitoring

THIS POSITION IS NOT ELIGIBLE FOR VISA SPONSORSHIP.

This role will report to the Manager, Compliance Monitoring and will provide operational and minor technical solutions for the programs that oversee compliance with OCC’s regulatory and internal control environment. This includes, but is not limited to, facilitating the management self-testing program, management self-testing quality assurance, annual attestations, and reviewing monitoring and surveillance tools.

To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.

• Facilitate the management self-testing program, including drafting of test plans, launching campaigns, and reporting on program
• Perform tests of controls for design and operational effectiveness
• Facilitate the company’s attestation program
• Build workflows that enable data extraction, processing, and conversion to standardized applications such as Tableau and Microsoft Excel.
• Assist in the build of Control Testing Automation, Findings, and Risk identification dashboards.
• Assist in the design and development of automated and sustainable reporting for a variety of audiences including management, the Chief Compliance Officer, the Board of Directors, and regulators.
• Support analytics framework by following best practices
• Assess existing technologies and data sets and determine how they can best be used to drive analyses and inform decision-making for Compliance.
• Escalate issues to the Manager, Compliance Monitoring, as needed.
• Other duties, as assigned.

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.

• 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
• 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
• Experience working with, cleaning and analyzing large and complex data sets and structures to derive meaningful results.
• Experience building dashboards and reports in Tableau, or similar monitoring tool.
• Excellent technical and analytical skills. Ability to deliver thoughtful, efficient solutions quickly in a fast-paced environment.
• Ability to communicate solutions clearly and effectively to business users and senior management.
• Ability to work across teams and with varying subject matter experts to develop requirements and to obtain and analyze data.
• Ability to work independently and as a member of a team.
• Ability to work under deadlines and manage multiple tasks simultaneously.

• eGRC experience (specifically RSA Archer)
• Understanding of statistics/quantitative analysis and experience applying these concepts in a business environment, preferred.
• Microsoft suite of applications (i.e., Outlook, Word, Excel, PowerPoint)

• Bachelor's Degree in Business Administration, Finance, or related discipline required.
• 1-3 years of experience working directly with and in coordination with compliance personnel
• 1-3 years of fintech or financial industry experience, a plus.

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 counter party (CCP) clearing and settlement services to 19 exchanges and trading platforms. More information about OCC is available at

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