Senior Associate, Regulatory Examination Management
Options Clearing Corporation, Chicago, IL, United States
Senior Associate, Regulatory Examination And Reporting Management
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: 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 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 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 Qualifications: 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
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: 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 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 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 Qualifications: 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