Senior Associate, Regulatory Examination Management
The Options Clearing Corporation (OCC), Chicago, IL, United States
THIS POSITION IS NOT ELIGIBLE FOR VISA SPONSORSHIP*****
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 $76,200.00 - $104,500.00
Incentive Range 6% to 10%
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.
Application Process
When you find a position you're interested in, click the 'Apply' button. Please complete the application and attach your resume.
You will receive an email notification to confirm that we've received your application.
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
#J-18808-Ljbffr
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 $76,200.00 - $104,500.00
Incentive Range 6% to 10%
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.
Application Process
When you find a position you're interested in, click the 'Apply' button. Please complete the application and attach your resume.
You will receive an email notification to confirm that we've received your application.
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
#J-18808-Ljbffr