Senior Associate, Corporate Compliance

The Options Clearing Corporation-posted about 1 month ago
Full-time • Mid Level
Hybrid • Chicago, IL
1,001-5,000 employees
Securities, Commodity Contracts, and Other Financial Investments and Related Activities
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This role will report to the Manager, Corporate Compliance, and will assist in the development, facilitation, and execution of the programs that make up OCC's Corporate Compliance environment. This includes, but is not limited to, assisting in the execution of the Policy Governance Policy, Conflicts of Interest, Code of Conduct and Contingent Worker Code of Conduct, Reported Concerns and Investigations programs and Electronic Communications Policy.

  • Assist in the facilitation and execution of the Conflicts of Interest program, including on-boarding of new employees, training of new and seasoned employees, and the monitoring of employees for violations of the Conflicts of Interest Monitoring Procedure. This may include, but is not limited to, disclosures, trading activity, waivers, questionnaires, escalations, and the issuance of violations.
  • Assist in the facilitation and execution of the Policy Governance Policy program, including, but not limited to, pre-publishing review, regulatory documents review, monitoring for overdue PGP documents, conducting training and monitoring, reporting, escalation, and the issuance of violations.
  • Assist in the facilitation of the OCC Code of Conduct and Contingent Worker Code of Conduct programs, including training of new and seasoned employees/contractors.
  • Assist in the facilitation and execution of the Electronic Communications Policy program.
  • Familiarity with trading, investment types and/ or trade monitoring.
  • Familiarity with compliance training and policy and procedure governance.
  • Understanding of the role and importance of policies and procedures within the organization.
  • Strong analytical skills with the ability to apply judgement to provide efficient and effective solutions, and to analyze all collected data to garner useful results.
  • Excellent written and oral communication skills and the ability to interact with various departments to successfully collect needed information.
  • Ability to adapt quickly to changing priorities, environment constraints, and project deadlines.
  • Ability to manage multiple efforts concurrently.
  • Bachelor's Degree or equivalent experience
  • 1-3 years related experience
  • Familiarity with policies and procedures within an organization
  • Experience identifying process improvements
  • Experience in project planning and reporting results
  • Experience managing multiple projects simultaneously
  • My Compliance Office experience a plus.
  • Excel
  • 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
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