Senior Associate, Corporate Compliance

Position Summary

***** THIS POSITION IS NOT ELIGIBLE FOR VISA SPONSORSHIP*****

This role reports to the Director, Corporate Compliance, assisting in the development, facilitation, and execution of OCC’s Corporate Compliance environment. The key programs include Policy Governance, Conflicts of Interest, Code of Conduct, Contractor Code of Conduct, Reported Concerns, Investigations, and Electronic Communications.

• Facilitate and execute the Conflicts of Interest program: onboarding, training, monitoring, disclosures, trading activity, waivers, questionnaires, escalations, and issuance of violations.
• Assist with the Policy Governance Program: pre‑publishing review, regulatory document review, monitoring for overdue PGP documents, training, reporting, escalation, and issuance of violations.
• Support the OCC Code of Conduct and Contractor Code of Conduct programs, including training for new and seasoned employees/contractors.
• Assist in the execution of the Electronic Communications Policy program.

• 1‑3 years of related experience or equivalent; bachelor’s degree or equivalent.
• Familiarity with trading and/or trade monitoring.
• Familiarity with compliance training and policy & procedure governance.
• Strong analytical skills, judgment, and the ability to analyze data for actionable results.
• Excellent written and oral communication skills and the ability to interact with multiple departments.
• Ability to adapt quickly to changing priorities and manage multiple efforts concurrently.

• Compliance office experience a plus.
• Proficiency in Excel.

• Bachelor’s Degree or equivalent.
• Experience identifying process improvements, project planning, reporting results, and managing multiple projects simultaneously.

• Hybrid work environment with up to 2 days per week remote.
• Tuition reimbursement to support continued education.
• Student loan repayment assistance.
• Technology stipend for remote work.
• Generous PTO and parental leave.
• 401(k) with employer match.
• Competitive health benefits: medical, dental, and vision.

OCC is an Equal Opportunity Employer that provides equal employment opportunities to all employees and applicants for employment without regard to race, color, national origin, citizenship status, sex, sexual orientation, gender identity or expression, disability, age, marital status, religion, veteran status, or any other characteristics protected by applicable federal, state, or local laws.