Senior Associate Regulatory Examination Management

What You'll Do:

The Senior Associate Regulatory Examination and Reporting Management will assist with the management of the regulatory reporting and regulatory examinations processes by assisting internal clients with regulatory reporting and responses to regulatory requests including in the examination process.

Primary Duties and Responsibilities:

To perform this job successfully an individual must be able to perform each primary duty satisfactorily.

• Assist the compliance and business functions in the preparation review organization and maintenance of documents provided to regulators in conjunction with regulatory examinations and other regulatory submissions

• Conduct quality control reviews of OCC’s submissions to regulators including the following:

  • Ensuring that established naming conventions and formatting standards are accurate and update documents accordingly;

  • Properly labeling documents in accordance with established standards; and

  • Proofreading documents for spelling and formatting issues

• Conduct substantive reviews of OCC’s submissions to regulators including ensuring the following:

  • The response is accurate up-to-date and responsive to all elements of a request;

  • The response is consistent with any previous responses relating to the same topic;

  • Documents required to support representations are provided or cross-referenced; and 

  • Any quotations and references to documents are accurate

• Understand manage facilitate and follow department policies procedures processes and controls as well as track the updating of same

• Assist in drafting policies procedures and memoranda as needed

• Track and ensure compliance with internal departmental requirements

• Support the regulatory submissions process including submitting materials to regulators per established protocols

• Support special projects as needed

• Perform other duties as assigned

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.

• 3+ years of relevant work experience

• Excellent attention to detail

• Well-organized and able to thrive in a fast-paced environment while successfully managing several substantial assignments

• 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 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

• Ability to work in a capacity with strict privacy and confidentiality requirements

• Flexibility to work past 5:00 p.m. on days when regulatory submissions are due

• Interest in financial markets is a plus

• JD is a plus

Technical Skills:

• Proficiency with Microsoft Office software (Excel Word PowerPoint) including SharePoint

• Proficiency with Adobe Acrobat

• Proficiency with Jira

Education and/or Experience:

• Degree from an accredited college or university

Certificates or Licenses:

• None required

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.

Benefits

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
• 401k Employer Match
• Competitive health benefits including medical dental and vision

Visit https://www.theocc.com/careers/thriving-together for more information.

Compensation

• The salary range listed for any given position is exclusive of fringe benefits and potential bonuses. If hired at OCC your final base salary compensation will be determined by factors such as skills experience and/or education.
• In addition we believe in the importance of pay equity and consider internal equity of our current team members as part of any final offer.
• We typically do not hire at the maximum of the range in order to allow for future and continued salary growth. We also offer a substantial benefits package as noted on www.theocc.com/careers
• All employees may be eligible for a discretionary bonus. Discretionary bonuses are based on various factors including but not limited to company and individual performance and are not guaranteed.

Salary Range

Incentive Range

This position is eligible for an annual discretionary incentive compensation award for which the target range is listed above (see Incentive Range). The amount of such award if any will be based on various factors including without limitation both individual and company performance.

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

What We Do

As the foundation for secure markets OCC is a customer-driven organization that delivers world-class Risk Management Clearing and Settlement Services for a sophisticated mix of financial products that includes standard options stock loans and futures contracts.

Why Work With Us

We're bound together by values and behaviors that shape the way we work and live from team projects to after-hours events and to making a difference in our communities. OCC colleagues thrive in an atmosphere of intellectual curiosity creative problem-solving and effective interaction.

Gallery