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Compliance Officer Chicago - 125 S Franklin/en-US/careers/job/Chicago---125-S-Franklin/Compliance-Officer_REQ-1443/apply
The Compliance Officer will support the Regulatory Compliance Advisory team in assisting OCCs first-line business units with achieving compliance with regulatory obligations. Specific supporting responsibilities and tasks will be related to advising on policy and procedure updates, assisting with remediating regulatory and Internal Audit findings, and monitoring changes to internal processes that may impact OCCs regulatory compliance posture.
Primary Duties and Responsibilities:
Support communication with first-line business units related to compliance initiatives and provide effective challenge where necessary
Develop recommendations/direction to business units on policy, procedure, process, and control improvements to strengthen OCCs compliance posture
Review processes for opportunities to improve efficiency and effectiveness, including opportunities to automate processes
Develop status reports reflecting first-line business unit regulatory compliance status
Produce and deliver education on Regulatory Compliance initiatives
Collect data to identify root cause of problems, identify trends, formulate solutions and escalate potential issues as necessary
Understand, utilize and train on the organizations eGRC tool (RSA Archer)
Learn, develop and maintain compliance knowledge through practical experience and ongoing training
Research changes in the regulatory landscape and assist Regulatory Compliance Advisory in communicating impact of changes to first-line business units
Assist with preparation of supporting materials for SEC and CFTC regulatory examinations
Attend Internal Audit scoping meetings and assist with drafting finding remediation plans
Perform ad-hoc duties for Compliance management as necessary
Make recommendations for enhancements to Compliances internal policies, procedures, and processes
Assist with the development and administration of the Compliance Risk Assessment and Compliance Monitoring programs
Outstanding communication skills, both verbal and written
Strong attention to detail and analytical skills, including data analytics and reporting
Ability to present ideas clearly and think creatively
Ability to manage multiple tasks/projects simultaneously
Ability to respond to shifting priorities and manage deadlines
Strategic thinker, with strong conceptual and problem-solving skills
Proficiency with Microsoft Office Suite, including Word, Excel, and PowerPoint
Experience using an integrated risk management system (such as RSA Archer Suite) a plus
Experience using NAVEX Global PolicyTech a plus
Education and/or Experience:
3-5 years experience performing compliance, risk, or control activities in the financial services industry
Bachelor's Degree in Accounting, Business, Economics, Finance, or other business and finance-related discipline
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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.
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OCC is an Equal Opportunity Employer
Posted 5 Days AgoFull timeREQ-1443
OCC is the world's largest equity derivatives clearing organization and the foundation for secure markets. Founded in 1973, OCC operates under the jurisdiction of both the U.S. Securities and Exchange Commission (SEC) and the U.S. Commodity Futures Trading Commission (CFTC) as a Derivatives Clearing Organization. Named 2016 Clearinghouse of the Year - The Americas by FOW Magazine and 2016 Clearinghouse of the Year by Global Investor/ISF Magazine, OCC now provides central counterparty (CCP) clearing and settlement services to 20 exchanges and trading platforms for options, financial futures, security futures, and securities lending transactions. More information about OCC is available at www.theocc.com.
Internal Number: 6380593
About Options Clearing Corporation
eFinancialCareers is a career site specializing in financial services.