Associate Principal, Counsel

What You'll Do:
The Associate Principal, Counsel will assist with the regulatory examination process, including reviewing responses to regulatory examinations, and provide legal advice to internal clients regarding regulatory examinations and litigation in order to manage legal risks faced by the Corporation.
Primary Duties and Responsibilities:
To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.

• Assist with Legal department role in overseeing regulatory examination process, including but not limited to review of responses to document requests, participation in onsite examination sessions, and review of responses to preliminary and final examination findings.
• Assist in review of documents prepared in conjunction with regulatory examinations to help ensure adequacy, consistency, accuracy, user-friendliness, and overall quality.
• Assist in review of presentation materials for examination interviews.
• Assist with responses to ad hoc document requests from regulators.
• Assist with litigation matters and responses to third party subpoenas.
• Prepare privilege logs.
• Assist with management of process for clearing member rule violations and statutory disqualifications.
• As needed, provide legal advice on both matters related to regulations to internal clients in order to manage legal risks faced by the Corporation relating to regulatory developments.
• Support Legal department processes by performing governance/risk/compliance tasks required for execution and testing.
• Perform other duties as required.

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.

• Legal experience, preferably related to litigation or regulatory examinations.
• E-discovery experience.
• Experience with securities and commodity laws and regulations preferred.
• Excellent time management and organization skills.
• Excellent interpersonal and communication skills.
• Excellent writing skills.
• Excellent analytical and problem-solving skills.
• Detail-oriented, flexible, and creative.
• Capable of handling several substantial assignments at the same time.
• Self-starter with ability to work independently as well as on a team and to quickly shift priorities in response to changing business environment or priorities.
• Ability to work collaboratively, including through effective communication, with internal clients from different departments at various levels of seniority.
• Ability to promptly produce high-quality, accurate, and detailed work product.

Technical Skills:

• Proficiency with Microsoft Office (Word, Excel)
• Proficiency with JIRA a plus

Education and/or Experience:

• Juris doctorate or equivalent degree from a U.S. accredited law school.
• 1-2 years of experience either at a law firm, in-house, or at a regulatory agency.
• Degree from an accredited college or university.

Certificates or Licenses:

• Admitted to the Illinois Bar

Who We Are
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
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