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Full Job Description
What You’ll Do:
This role will support independent
assessments of OCC’s financial and operational business processes,
risk management, and other objectives as needed. The role is
responsible for determining the sufficiency of management’s controls
and activities related to the management of regulatory, operational,
and strategic risks and presenting recommendations for improvements to
the engagement team.
Primary Duties and
Responsibilities:
To perform this job successfully, an
individual must be able to perform each primary duty
satisfactorily.
Responsibilities will be aligned, but not
limited, to three pillars:
Delivery
Support the
team on delivery of assigned audits within the annual audit plan.
Support the team confirming a professional auditee
experience.
Owning the audit quality, accuracy of results,
and delivery in a timely manner.
Proactively identify
regulatory, operational, and/or strategic risks to the organization
and bring them to your engagement team.
Evaluate exceptions
or inefficient practices for root causes and propose advice and
recommendations for achievable solutions.
Leading audits
related to organization changes including business requirements
definitions, technology implementations (e.g., changes to the
supported business processes), engagement and alignment of change
initiatives to business objectives.
Quality
Maintaining an understanding of policies, procedures, standards, and
supporting technologies, and educating staff accordingly, to
effectively identify potential risks and alternatives to mitigate risk
exposure leveraging leading practices.
Ability to
understand professional principles and standards (e.g., AICPA, IIA
IPPF, COSO) and the relevancy to risk management and impact on
policies and procedures. In addition, leveraging these principles and
standards to test and evaluate corporate risk management processes and
controls.
Keeping current on best practices and emerging
risks within the financial services industry and making
recommendations for improvements as necessary.
Leadership
Supporting effective relationships with
business groups and leadership and partnering with management.
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.
Qualifications & Experience will be required, but not limited,
to:
Qualifications
Ability to communicate
clearly and effectively, both orally and in writing, including the
ability to handle potentially sensitive situations and discussions.
Strong problem solving and analytical capabilities.
Demonstrated ability to gather, analyze, and evaluate facts, and
prepare and present concise oral and written reports.
Ability to work independently or as part of a team, prioritizing
multiple audit assignments to simultaneously complete each in a timely
fashion.
Experience
Experience working in a
complex, fast paced environment.
Experience using the
principles, practices, and techniques involved in conducting audits in
accordance with the requirements set forth in the International
Standards for the Professional Practice of Internal Auditing published
by the Institute of Internal Auditors (IIA).
(Preferred)
Consulting and/or accounting firm experience.
(Preferred)
Experience in Financial Services/Security Industry and working with
regulatory organizations such as: Securities and Exchange Commission
(SEC), Commodity Futures Trading Commission (CFTC), Financial Industry
Regulatory Authority (FINRA), Federal Reserve.
Technical
Skills:
(Required) Microsoft Office applications
(Preferred) Proficiency using Archer or other audit or Governance
Risk and Compliance (GRC) software
Education and/or
Experience:
Bachelor’s degree (or equivalent) in
Accounting, Finance, Business Administration, or related field
5+ years of experience (audit-related) in conducting
risk-based operational and compliance audits and projects, business
process reviews and internal audits
Certificates or
Licenses:
(Preferred) one of the following or equivalent
certifications: Certified Financial Services Auditor (CFSA),
Certification in Risk Management Assurance (CRMA), Certified Internal
Auditor (CIA), Certified Public Accountant (CPA)
Who We
Are
The Options Clearing Corporation (OCC) is the largest
equity derivatives organization in the world. We provide central
counterparty clearing and settlement services for equity options,
futures, options on futures, and securities lending transactions. We
serve approximately 115 clearing members and 15 exchanges including
CBOE, Nasdaq, and NYSE.
What We Offer
We offer 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
Competitive health benefits including medical, dental and vision
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
