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Director, Regulatory Compliance (IT and Security)
Options Clearing Corporation
Chicago, IL, United States
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Job Details:
Summary:
The Compliance Department is organized into four functional areas, with each having a distinct role in carrying out the department’s mission in a highly regulated environment. Regulatory Compliance is one of those four areas. The Director of Regulatory Compliance (IT and Security) reports directly to the VP, Regulatory Compliance (IT) and works in conjunction with that person to oversee those aspects of the regulatory compliance program that cover the following areas at OCC: Information Technology, Security Services and Operations.
Essential Duties and Responsibilities:
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. • In conjunction with the VP, Regulatory Compliance (IT), identify and establish processes required to conduct the IT, Security and Operations aspects of the regulatory compliance area within the Compliance Department.
• Execute regulatory compliance monitoring and reporting programs, spanning highly technical subject matter areas concerning information technology, security services and other related areas.
• Provide guidance to first line of defense for how they can effectively demonstrate compliance with regulatory obligations covering their areas.
• Assist business units with the identification, understanding, and development of processes, policies, procedures, and controls that effectively demonstrate compliance with regulatory obligations.
• Assist in development, execution, and maintenance of a data analytics and reporting program in support of providing frequent and highly professional reports to the CCO, executive management, and the Board of Directors.
• Interact and communicate in a highly effective, professional, and insightful manner with business colleagues within the company, as well as regulators, clearing members and other third parties.
• Exhibit and foster a strong compliance culture across all staff members.
• Exhibit and foster a strong collaboration across OCC’s control functions (i.e., internal audit, enterprise risk management, compliance, model validation).
• Present findings of the regulatory compliance monitoring program to the CCO and business colleagues.
• Assist in the writing of the annual compliance report, as well as other ad hoc and regularly occurring reports.
• Assist with the remediation of compliance related issues that arise.
• Serve as a point of contact to regulators.
• Perform other duties as assigned.
Supervisory Responsibilities:
• Assist the VP, Regulatory Compliance (IT) in developing and fostering a high-performing culture that provides learning and continuous improvement opportunities for staff.
Qualifications:
The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. • 7+years of compliance and/or technology experience.
• Strong working knowledge of securities and commodities rules and regulations.
• Strong working knowledge of compliance related best practices.
• Strong working knowledge of the financial industry, preferably in one or more of the aforementioned disciplines.
• Excellent organizational and communication skills
• Comprehensive analytical, conceptual and problem solving skills
• Ability to support the entire Compliance Program, including policy and procedure management, process and control management, testing, monitoring, risk assessment, and findings management.
• Ability to manage and prioritize assignments and respond to rapidly shifting priorities.
• Ability to work independently and as a member of a team, collaborating with internal business clients at various levels of seniority.
• Must be able to work under deadlines and manage multiple tasks.
Technical Skills:
• Proficiency with MS Office software and web-based reporting tools.
Education and/or Experience:
• 7+ years of compliance and/or technology related experience
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.
OCC is an Equal Opportunity Employer