Associate Principal, Compliance Monitoring

The OCC • Chicago, IL

12h • Hybrid

About The Position

This is a technical role that will report to the Manager, Compliance Monitoring, and will be responsible for assisting in designing and implementing technical solutions for the programs that oversee compliance with OCC’s regulatory and internal control environment. This includes, but is not limited to, facilitating the automation of the organization’s control testing program by working with business stakeholders to establish data connections to various underlying data sets, as well as establishing, creating, and maintaining data connections, dashboards, and other solutions related to the department’s monitoring and surveillance program, including reports to management and the Board, while following development best practices

Requirements

• Strong programming skills oriented towards data analytics involving data extraction, manipulation, processing and analysis.
• Advanced SQL skills and experience writing efficient complex queries for data extraction.
• Working knowledge of API protocols and extracting data from REST APIs and source systems.
• Experience working with, cleaning and analyzing large and complex data sets and structures to derive meaningful results.
• Experience building dashboards and reports in Tableau, or similar monitoring tool.
• Excellent technical and analytical skills.
• Ability to deliver thoughtful, efficient solutions quickly in a fast-paced environment.
• Strong understanding of CI/CD, DevOps principles in a data context.
• Ability to communicate technical solutions clearly and effectively to business users and senior management.
• Ability to work across teams and with varying subject matter experts to develop requirements and to obtain and analyze data.
• Ability to manage and prioritize assignments and respond to rapidly shifting priorities.
• Ability to work independently and as a member of a team.
• Ability to work under deadlines and manage multiple tasks simultaneously.
• Proficient programming skills in either Python (Pandas/Numpy), Matlab or R.
• SQL programming on relational databases.
• Tableau or Python/R data visualization libraries.
• Experience working on workflow and orchestration tools like Alteryx, Airflow, Power BI or scheduling automated jobs in Windows or Unix environment.
• Experience with cloud data services (AWS, Azure or similar platforms.)
• Building end-to-end data pipelines and using best practices in development and testing.
• Familiarity with Agile framework and versioning tools like Git.
• 3-5 years of software development/data analytics/quantitative analysis roles required.
• Bachelor’s Degree in Computer Science, Information Systems, Mathematics, Finance, or related discipline required.

Nice To Haves

• Object Oriented Programming skills is a plus.
• Database development and management is a plus.
• Experience leveraging AI tools for analytics processes to create efficiencies.
• Object Oriented programming skills (C++/Java), preferred.
• Splunk is a plus.
• Curator is a plus.
• Experience with Agentic AI tools, generative AI and prompt engineering, preferred.
• Understanding of statistics/quantitative analysis and experience applying these concepts in a business environment, preferred.
• 2+ years of fintech or financial industry experience, preferred.
• 2 years working in Risk or Compliance areas, preferred.
• Master’s Degree preferred.

Responsibilities

• Design, build, and maintain automated workflows that enable data extraction, processing, and conversion to standardized data models.
• Develop and maintain data pipelines that ensure end-to-end process automation related to different aspects of the Compliance program.
• Create and maintain department dashboards and other monitoring solutions.
• Implement automated and sustainable reporting for a variety of audiences including management, the Chief Compliance Officer, the Board of Directors, and regulators.
• Support analytics framework by following best practices in code review, testing, documentation and technical writing.
• Optimize existing technologies and data sets and develop new solutions to drive analyses and inform decision-making for Compliance.
• Analyze overall analytics processes strategically and provide comprehensive solutions on a design architecture level.
• Escalate issues to the Manager, Compliance Monitoring, as needed.
• Other duties, as assigned.

Benefits

• A highly collaborative and supportive environment developed to encourage work-life balance and employee wellness.
• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 1,001-5,000 employees