Senior Associate, Internal Audit Information Technology & Security

What You'll Do

This role will support independent assessments of OCC's Information Technology and Security environment, risk management, and other objectives as needed. The role is responsible for determining the sufficiency of management's controls and activities related to the management of regulatory, operational, and strategic risks and presenting recommendations for improvements to the engagement team.

Responsibilities

• Delivery

• Support the team, both OCC and/or co-sourced resources, on delivery of assigned audits within the annual audit plan.
• Support the team, both OCC and/or co-sourced resources, confirming a professional auditee experience. 
• Owning the audit quality, accuracy of results, and delivery in a timely manner.
• Proactively identify regulatory, operational, and/or strategic risks to the organization and bring them to your engagement team.
• Evaluate exceptions or inefficient practices for root causes and propose advice and recommendations for achievable solutions.
• Leading audits related to organization changes including business requirements definitions, technology implementations (e.g., change management, security), engagement and alignment of change initiatives to business objectives.

• Quality

• Maintaining an understanding of policies, procedures, standards, and supporting technologies, and educating staff accordingly, to effectively identify potential risks and alternatives to mitigate risk exposure leveraging leading practices.
• Ability to understand professional principles and standards (e.g., AICPA, IIA IPPF, COBIT, NIST CSF) and the relevancy to risk management and impact on policies and procedures. In addition, leveraging these principles and standards to test and evaluate corporate risk management processes and controls.
• Keeping current on best practices and emerging risks within the financial services industry and making recommendations for improvements as necessary.
• Leadership
• Supporting effective relationships with business groups and leadership and partnering with management 

Supervisory Responsibilities

• None

Qualifications & Experience

• [Required] Demonstrated ability to gather, analyze, and evaluate facts, and prepare and present concise oral and written reports
• [Required] Ability to communicate clearly and effectively, both orally and in writing, including the ability to handle potentially sensitive situations and discussions
• [Required] Ability to work independently or as part of a team, prioritizing multiple audit assignments to simultaneously complete each in a timely fashion
• [Required] Strong problem solving and analytical capabilities
• [Preferred] Experience working in a complex, fast paced environment.
• [Preferred] Consulting and/or accounting firm experience.
• [Preferred] Experience in Financial Services/Security Industry and working with regulations such as Regulation Systems Compliance and Integrity (Reg SCI).
• [Preferred] Knowledge of the principles, practices, and techniques involved in conducting audits in accordance with the requirements set forth in the International Standards for the Professional Practice of Internal Auditing published by the Institute of Internal Auditors (IIA)

Technical Skills & Background

• [Required] Microsoft Office applications
• [Preferred] Familiarity with security tools such as: CyberArk, Splunk, SailPoint
• [Preferred] Familiarity with change management tools such as: ServiceNow, Jira, Confluence, GitHub
• [Preferred] Familiarity with databases such as: Oracle, DB2, SQL
• [Preferred] Familiarity with cloud based solutions: AWS, Azure, Oracle Cloud, Workday
• [Preferred] Proficiency using Archer or other audit or Governance Risk and Compliance (GRC) software

Certifications

• [Preferred] Certified Information Systems Auditor (CISA), Certified Information Systems Security Professional (CISSP), Certification in Risk Management Assurance (CRMA), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or similar certification required

Education & Training

• [Required] Bachelor’s degree (or equivalent) in Information Technology, Accounting, Finance, Business Administration, or related field

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