Associate Principal, Corporate Risk GRC

Who We Are
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.
What We Offer
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
Competitive health benefits including medical, dental and vision
Summary
What You'll Do
This role serves an integral part in the control and administrative functions of all groups within Corporate Risk. This role will develop and lead initiatives to promote continuous improvement of Corporate Risk's control environment through, but not limited to, exam management, change management, control development and testing, and internal reporting. Collaboration efforts with Compliance, ERM, Internal Audit, and external partners are essential to implement effective control infrastructure and evaluate risk thresholds. This role will guide and influence the professional development and work responsibilities of other Operations GRC staff members. Partnering with Accounting and Finance, this role will analyze and assist in forecasting the annual budgets, and demand resource allocation. This role will support the team in promoting the culture and implementing team building days.
Primary Duties and Responsibilities:
To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.

• Drive efforts to improve control environment through collaboration with Corporate Risk departments and second and third lines of defense based on self-identification and self-testing, external or internal audits, regulatory examinations, compliance reviews, or risk assessments
• Document Operations GRC responsibilities through the development and maintenance of governance documents such as procedures and job aids
• Proactively communicate best practices and seek opportunities to increase efficiency in the current business processes
• Support Corporate Risk departments in the Renaissance Initiative through the Policy & Procedure Change Management process
• Drive progress through active collaboration with subject matter experts during transition of governance documentation
• Analyze issues related to process execution, third party, customer service through Key Risk Indicator (KRI) tracking and reporting to assess risk tolerance, identify trends and determine a strategy to manage the risk
• Perform comprehensive reviews of related policies, procedures, job aids, and controls to demonstrate cohesiveness and adherence to the Policy Governance Policy (PGP) through change management monitoring
• Drive all Internal and external exam requests assigned to Corporate Risk to ensure completeness and accuracy by evaluating operational effectiveness
• Advise Corporate Risk departments on exam-related matters
• Assist and mentor team members and Corporate Risk staff to support the expansion of control infrastructure and OCC improvements
• Influence timelines and expectations amongst Operations GRC staff

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.

• [Required] Excellent time management and organizational skills to manage multiple projects and deadlines simultaneously at various priority levels
• [Required] Ability to work independently, collaboratively, cross-functionally and with various levels of seniority
• [Required] Strong administrative and interpersonal skills, including excellent written and oral communication skills
• [Required] Experience providing value-added recommendations to improve and optimize inefficiencies
• [Required] Demonstrate initiative and be a self-starter
• [Required] Strong attention to detail and analytical skills including data analytics and reporting
• [Required] Exhibit flexibility and adaptability when faced with new challenges and shifting priorities

Technical Skills:

• [Required] Microsoft Office suite, with emphasis on Excel, PowerPoint, and Word
• [Required] Experience with Governance and Risk & Compliance Software such as Archer
• [Required] Experience with Jira/Confluence
• [Required] Experience with a Learning Management System such as Workday Learning

Education and/or Experience:

• [Required] Bachelor's degree (or equivalent)
• [Required] 5+ years of experience
• [Required] Experience responding to and interacting with regulatory agencies
• [Required] Experience with exam management
• [Required] Experience with the development of policies and procedures
• [Required] Compliance experience including executing a compliance or controls testing program

Certificates or Licenses:

• None

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