Senior Associate, Compliance Monitoring - Data Analytics
Options Clearing Corporation
Chicago IL 60290 US
This position is not eligible for current or future Sponsorship.
What You'll Do:
This role will report to the Manager, Compliance Monitoring and will provide 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, control testing quality assurance, monitoring and surveillance tools and reports related to board reporting.
Primary Duties and Responsibilities:
To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.
Build automated workflows that enable data extraction, processing, and conversion to standardized data models.
Configure data pipelines that ensure end-to-end process automation related to different aspects of the Compliance program.
Develop Control Testing Automation, Findings, and Risk identification dashboards.
Assist in the design and development of 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.
Assist in the design and development of automated and sustainable reporting for a variety of audiences including management, the Chief Compliance Officer, the Board of Directors, and regulators.
Assess existing technologies and data sets and determine how they can best be used to drive analyses and inform decision-making for Compliance.
Escalate issues to the Manager, Compliance Monitoring, as needed.
Other duties, as assigned.
Supervisory Responsibilities:
Not Applicable.
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.
Strong programming skills oriented towards data analytics involving data extraction, manipulation, processing and analysis. Object Oriented Programming skills is a plus.
Strong SQL skills and experience writing efficient complex queries for data extraction. Database development and management is a plus.
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.
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.
Technical Skills:
Data extraction, manipulation and processing skills in either Python (Pandas/Numpy), Matlab or R. Having Object Oriented programming skills (C++/Java) is a plus.
SQL programming on relational databases. Splunk is a plus.
Tableau or Python/R data visualization libraries. Curator is a plus.
Experience working on a workflow tool like Alteryx, Power BI or scheduling automated jobs in Windows or Unix environment.
Building end-to-end data pipelines and using best practices in development and testing.
Familiarity with Agile framework and versioning tools like Git.
Understanding of statistics/quantitative analysis and experience applying these concepts in a business environment, preferred.
Education and/or Experience:
0-3 years of software development/data analytics/quantitative analysis roles required.
2 years of fintech or financial industry experience, a plus.
2 years working in Risk or Compliance areas, a plus.
Bachelor's Degree in Computer Science, Information Systems, Mathematics, Finance, or related discipline required.
Certificates or Licenses:
Not Required
Who We Are
The Options Clearing Corporation (OCC) is the world's largest equity derivatives clearing organization. Founded in 1973, OCC is dedicated to promoting stability and market integrity by delivering clearing and settlement services for options, futures and securities lending transactions. As a Systemically Important Financial Market Utility (SIFMU), OCC operates under the jurisdiction of the U.S. Securities and Exchange Commission (SEC), the U.S. Commodity Futures Trading Commission (CFTC), and the Board of Governors of the Federal Reserve System. OCC has more than 100 clearing members and provides central counterparty (CCP) clearing and settlement services to 19 exchanges and trading platforms. More information about OCC is available at .
What 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
What You'll Do:
This role will report to the Manager, Compliance Monitoring and will provide 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, control testing quality assurance, monitoring and surveillance tools and reports related to board reporting.
Primary Duties and Responsibilities:
To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.
Build automated workflows that enable data extraction, processing, and conversion to standardized data models.
Configure data pipelines that ensure end-to-end process automation related to different aspects of the Compliance program.
Develop Control Testing Automation, Findings, and Risk identification dashboards.
Assist in the design and development of 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.
Assist in the design and development of automated and sustainable reporting for a variety of audiences including management, the Chief Compliance Officer, the Board of Directors, and regulators.
Assess existing technologies and data sets and determine how they can best be used to drive analyses and inform decision-making for Compliance.
Escalate issues to the Manager, Compliance Monitoring, as needed.
Other duties, as assigned.
Supervisory Responsibilities:
Not Applicable.
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.
Strong programming skills oriented towards data analytics involving data extraction, manipulation, processing and analysis. Object Oriented Programming skills is a plus.
Strong SQL skills and experience writing efficient complex queries for data extraction. Database development and management is a plus.
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.
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.
Technical Skills:
Data extraction, manipulation and processing skills in either Python (Pandas/Numpy), Matlab or R. Having Object Oriented programming skills (C++/Java) is a plus.
SQL programming on relational databases. Splunk is a plus.
Tableau or Python/R data visualization libraries. Curator is a plus.
Experience working on a workflow tool like Alteryx, Power BI or scheduling automated jobs in Windows or Unix environment.
Building end-to-end data pipelines and using best practices in development and testing.
Familiarity with Agile framework and versioning tools like Git.
Understanding of statistics/quantitative analysis and experience applying these concepts in a business environment, preferred.
Education and/or Experience:
0-3 years of software development/data analytics/quantitative analysis roles required.
2 years of fintech or financial industry experience, a plus.
2 years working in Risk or Compliance areas, a plus.
Bachelor's Degree in Computer Science, Information Systems, Mathematics, Finance, or related discipline required.
Certificates or Licenses:
Not Required
Who We Are
The Options Clearing Corporation (OCC) is the world's largest equity derivatives clearing organization. Founded in 1973, OCC is dedicated to promoting stability and market integrity by delivering clearing and settlement services for options, futures and securities lending transactions. As a Systemically Important Financial Market Utility (SIFMU), OCC operates under the jurisdiction of the U.S. Securities and Exchange Commission (SEC), the U.S. Commodity Futures Trading Commission (CFTC), and the Board of Governors of the Federal Reserve System. OCC has more than 100 clearing members and provides central counterparty (CCP) clearing and settlement services to 19 exchanges and trading platforms. More information about OCC is available at .
What 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