Compliance Officer Compliance Officer …

Options Clearing Corporation
in Chicago, IL, United States
Permanent, Full time
Be the first to apply
Options Clearing Corporation
in Chicago, IL, United States
Permanent, Full time
Be the first to apply
Compliance Officer
Compliance Officer Chicago - 125 S Franklin/en-US/careers/job/Chicago---125-S-Franklin/Compliance-Officer_REQ-1443/apply


The Compliance Officer will support the Regulatory Compliance Advisory team in assisting OCCs first-line business units with achieving compliance with regulatory obligations. Specific supporting responsibilities and tasks will be related to advising on policy and procedure updates, assisting with remediating regulatory and Internal Audit findings, and monitoring changes to internal processes that may impact OCCs regulatory compliance posture.

Primary Duties and Responsibilities:

  • Support communication with first-line business units related to compliance initiatives and provide effective challenge where necessary
  • Develop recommendations/direction to business units on policy, procedure, process, and control improvements to strengthen OCCs compliance posture
  • Review processes for opportunities to improve efficiency and effectiveness, including opportunities to automate processes
  • Develop status reports reflecting first-line business unit regulatory compliance status
  • Produce and deliver education on Regulatory Compliance initiatives
  • Collect data to identify root cause of problems, identify trends, formulate solutions and escalate potential issues as necessary
  • Understand, utilize and train on the organizations eGRC tool (RSA Archer)
  • Learn, develop and maintain compliance knowledge through practical experience and ongoing training
  • Research changes in the regulatory landscape and assist Regulatory Compliance Advisory in communicating impact of changes to first-line business units
  • Assist with preparation of supporting materials for SEC and CFTC regulatory examinations
  • Attend Internal Audit scoping meetings and assist with drafting finding remediation plans
  • Perform ad-hoc duties for Compliance management as necessary
  • Make recommendations for enhancements to Compliances internal policies, procedures, and processes
  • Assist with the development and administration of the Compliance Risk Assessment and Compliance Monitoring programs


  • Outstanding communication skills, both verbal and written
  • Strong attention to detail and analytical skills, including data analytics and reporting
  • Ability to present ideas clearly and think creatively
  • Ability to manage multiple tasks/projects simultaneously
  • Ability to respond to shifting priorities and manage deadlines
  • Strategic thinker, with strong conceptual and problem-solving skills

Technical Skills:

  • Proficiency with Microsoft Office Suite, including Word, Excel, and PowerPoint
  • Experience using an integrated risk management system (such as RSA Archer Suite) a plus
  • Experience using NAVEX Global PolicyTech a plus

Education and/or Experience:

  • 3-5 years experience performing compliance, risk, or control activities in the financial services industry
  • Bachelor's Degree in Accounting, Business, Economics, Finance, or other business and finance-related discipline

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. 

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OCC is an Equal Opportunity Employer

Posted 5 Days AgoFull timeREQ-1443

OCC is the world's largest equity derivatives clearing organization and the foundation for secure markets. Founded in 1973, OCC operates under the jurisdiction of both the U.S. Securities and Exchange Commission (SEC) and the U.S. Commodity Futures Trading Commission (CFTC) as a Derivatives Clearing Organization. Named 2016 Clearinghouse of the Year - The Americas by FOW Magazine and 2016 Clearinghouse of the Year by Global Investor/ISF Magazine, OCC now provides central counterparty (CCP) clearing and settlement services to 20 exchanges and trading platforms for options, financial futures, security futures, and securities lending transactions. More information about OCC is available at