Associate Principal, Regulatory Compliance
What Youll DoThe Compliance Department is organized into two functional areas, with each having a distinct role in carrying out the departments mission in a highly regulated environment.
This role will regularly interact with OCCs Information Technology (IT) and Security Services departments.
The Associate Principal (IT) will support the continued development and implementation of the IT and Security Services Compliance program which includes:
process (policy, standards, procedure) and control development, risk identification and mitigation, and supporting regulatory exams.
The Associate Principal will also be responsible for recommending enhancements to the performance, integrity, and compliance of the organizations processes.
Primary Duties and
Responsibilities:
To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.
This role is highly focused on review of the organizations compliance with applicable regulatory and legal rules and requirements (i.
e.
, SEC, CFTC, Federal Reserve, etc.
) as they relate to technology and information security.
Contribute to the development, maintenance and continuous improvement of the Regulatory Framework including policies, procedures, and controlsAct as an advisor in compliance mattersAssist the organization in evaluating new products, key business initiatives, significant technology, and systems to ensure compliance with policy, laws, and regulationsParticipate in or lead compliance programs, projects, system implementations, or OCC initiativesInterpret policies, laws, and regulations and assists the organization in determining applicability and implementation strategyAdvise and support the organization in establishing and implementing IT and Security Services policies and proceduresProvide guidance to the organization on the development and implementation of effective remediation plans to address internal or external findingsKeep abreast of, and leverage, industry best practices/frameworks (i.
e.
, NIST CSF, NIST 800-53 COBIT, ISO, Cloud Security, etc.
) to drive compliance related continuous improvements for IT and Security ServicesAssist in the analysis of findings to identify themes and trendsSupport other departmental activities and initiatives as required including assessment of compliance risks, supporting regulatory reporting and compliance reporting etc.
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.
Broad knowledge of applicable regulatory, legal rules and requirements (e.
g.
, SEC, CFTC, Federal Reserve, etc.
).
Possesses proficiencies with the use of risk and control frameworks, and process improvement frameworks including for Cloud environment (e.
g.
, COBIT, NIST CSF, NIST 800-53, COSO, ITIL, ISO 27001, ISO 9001, CMMI)Familiarity with Systems Development Life Cycle (SDLC) agile process and Secure Software Development LifecycleComprehensive analytical, conceptual, and problem-solving skills.
Ability to work independently and as a member of a team, collaborating with internal business clients from different departments and at various levels of seniority.
Excellent organizational, written, and oral communication skills.
Demonstrated ability to gather, analyze, and evaluate facts and prepare and present concise oral and written reports.
Technical Skills:
Proficiency with MS Office software, GRC tools and web-based reporting tools.
Proficiency with Cloud Computing Models, Risks and Cloud Control Environment.
(AWS etc.
)Experience with document management tools (e.
g.
, DMS, PolicyTech) a plusEducation and/or
Experience:
7
years of experience in IT/Security Compliance, IT/Security Risk Management, IT/Security Audit, IT, Information Security, or related field requiredBachelors degree or equivalent required (Degree in Computer Science or related field a plus)Certificates or Licenses:
Preferred Certifications - CISA, CISSP, CRISC, CCSP etc.
Who We AreThe Options Clearing Corporation (OCC) is the worlds 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.
What We OfferA 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 workTuition Reimbursement to support your continued educationStudent Loan Repayment AssistanceTechnology Stipend allowing you to use the device of your choice to connect to our network while working remotelyGenerous PTO and Parental leaveCompetitive health benefits including medical, dental and visionStep 1When you find a position youre interested in, click the Apply button.
Please complete the application and attach your resume.
Step 2You will receive an email notification to confirm that weve received your application.
Step 3If 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 Recommended Skills Agile Methodology Amazon Web Services Analytical Business Process Improvement Cash Or Share Options Certified Information Security Manager Estimated Salary: $20 to $28 per hour based on qualifications.
This role will regularly interact with OCCs Information Technology (IT) and Security Services departments.
The Associate Principal (IT) will support the continued development and implementation of the IT and Security Services Compliance program which includes:
process (policy, standards, procedure) and control development, risk identification and mitigation, and supporting regulatory exams.
The Associate Principal will also be responsible for recommending enhancements to the performance, integrity, and compliance of the organizations processes.
Primary Duties and
Responsibilities:
To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.
This role is highly focused on review of the organizations compliance with applicable regulatory and legal rules and requirements (i.
e.
, SEC, CFTC, Federal Reserve, etc.
) as they relate to technology and information security.
Contribute to the development, maintenance and continuous improvement of the Regulatory Framework including policies, procedures, and controlsAct as an advisor in compliance mattersAssist the organization in evaluating new products, key business initiatives, significant technology, and systems to ensure compliance with policy, laws, and regulationsParticipate in or lead compliance programs, projects, system implementations, or OCC initiativesInterpret policies, laws, and regulations and assists the organization in determining applicability and implementation strategyAdvise and support the organization in establishing and implementing IT and Security Services policies and proceduresProvide guidance to the organization on the development and implementation of effective remediation plans to address internal or external findingsKeep abreast of, and leverage, industry best practices/frameworks (i.
e.
, NIST CSF, NIST 800-53 COBIT, ISO, Cloud Security, etc.
) to drive compliance related continuous improvements for IT and Security ServicesAssist in the analysis of findings to identify themes and trendsSupport other departmental activities and initiatives as required including assessment of compliance risks, supporting regulatory reporting and compliance reporting etc.
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.
Broad knowledge of applicable regulatory, legal rules and requirements (e.
g.
, SEC, CFTC, Federal Reserve, etc.
).
Possesses proficiencies with the use of risk and control frameworks, and process improvement frameworks including for Cloud environment (e.
g.
, COBIT, NIST CSF, NIST 800-53, COSO, ITIL, ISO 27001, ISO 9001, CMMI)Familiarity with Systems Development Life Cycle (SDLC) agile process and Secure Software Development LifecycleComprehensive analytical, conceptual, and problem-solving skills.
Ability to work independently and as a member of a team, collaborating with internal business clients from different departments and at various levels of seniority.
Excellent organizational, written, and oral communication skills.
Demonstrated ability to gather, analyze, and evaluate facts and prepare and present concise oral and written reports.
Technical Skills:
Proficiency with MS Office software, GRC tools and web-based reporting tools.
Proficiency with Cloud Computing Models, Risks and Cloud Control Environment.
(AWS etc.
)Experience with document management tools (e.
g.
, DMS, PolicyTech) a plusEducation and/or
Experience:
7
years of experience in IT/Security Compliance, IT/Security Risk Management, IT/Security Audit, IT, Information Security, or related field requiredBachelors degree or equivalent required (Degree in Computer Science or related field a plus)Certificates or Licenses:
Preferred Certifications - CISA, CISSP, CRISC, CCSP etc.
Who We AreThe Options Clearing Corporation (OCC) is the worlds 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.
What We OfferA 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 workTuition Reimbursement to support your continued educationStudent Loan Repayment AssistanceTechnology Stipend allowing you to use the device of your choice to connect to our network while working remotelyGenerous PTO and Parental leaveCompetitive health benefits including medical, dental and visionStep 1When you find a position youre interested in, click the Apply button.
Please complete the application and attach your resume.
Step 2You will receive an email notification to confirm that weve received your application.
Step 3If 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 Recommended Skills Agile Methodology Amazon Web Services Analytical Business Process Improvement Cash Or Share Options Certified Information Security Manager Estimated Salary: $20 to $28 per hour based on qualifications.
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