Associate Principal, Internal Audit Business

2 weeks ago

Chicago, Illinois, United States The Options Clearing Corporation Full time

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
  • 7+ 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

  • Associate Principal, Internal Audit Business

    4 weeks ago

    Chicago, Illinois, United States The Options Clearing Corporation Full time

    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...

  • Internal Audit Associate

    7 days ago

    Chicago, Illinois, United States DFIN Full time

    Donnelley Financial Solutions (DFIN) is a leader in risk and compliance solutions, providing insightful technology, industry expertise and data insights to clients across the globe. We're here to help you make smarter decisions with insightful technology, industry expertise and data insights at every stage of your business and investment lifecycles. As...

  • Associate Principal, Business

    4 weeks ago

    Chicago, Illinois, United States The Options Clearing Corporation Full time

    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...

  • Sr. Consultant Internal Audit

    4 weeks ago

    Chicago, Illinois, United States Blue Cross Blue Shield Association Full time

    The Senior Consultant Internal Auditplans and leads audits of BCBSA operational, financial, governance, risk management and compliance processes. Audits are performed across all business units to identify risks and evaluate internal controls according to professional standards. Specific areas of focus include control design, operation and efficiency, policy...

  • Audit Associate

    2 weeks ago

    Chicago, Illinois, United States City of Chicago School District - Chicago Public Schools Full time

    Chicago Public Schools (CPS) is one of the largest school districts in the United States, serving over 330,000 students in 600 schools and employing nearly 36,000 people, most of them teachers. CPS has set ambitious goals to ensure that every student Associate, Audit, Audit Manager, Internal, Skills, Accounting, Business Services

  • Manager - Internal Audit

    2 weeks ago

    Chicago, Illinois, United States United Airlines Full time

    There's never been a more exciting time to join United Airlines. We're on a path towards becoming the best airline in the history of aviation. Our shared purpose – Connecting People, Uniting the World – is about more than getting people from one place to another. It also means that as a global company that operates in hundreds of locations around the...

  • Manager - Internal Audit

    4 weeks ago

    Chicago, Illinois, United States United Airlines Full time

    There's never been a more exciting time to join United Airlines. We're on a path towards becoming the best airline in the history of aviation. Our shared purpose – Connecting People, Uniting the World – is about more than getting people from one place to another. It also means that as a global company that operates in hundreds of locations around the...

  • Manager - Internal Audit

    4 weeks ago

    Chicago, Illinois, United States Bally's Chicago Full time

    About Bally'sBally's Corporation is one of the world's leading entertainment companies, with millions of players across digital gaming platforms and traditional casino venues. Recognized for our innovation, energy, and dedication to creating thrilling gaming experiences, we were born to entertainBally's Chicago is a new exciting venture for the company. It...

  • Manager - Internal Audit

    4 weeks ago

    Chicago, Illinois, United States Bally's Corporation Full time

    About Bally's:Bally's Corporation is one of the world's leading entertainment companies, with millions of players across digital gaming platforms and traditional casino venues. Recognized for our innovation, energy, and dedication to creating thrilling gaming experiences, we were born to entertainBally's Chicago is a new exciting venture for the company. It...

  • Internal Audit Senior

    4 weeks ago

    Chicago, Illinois, United States Suntory Global Spirits Full time

    At Suntory Global Spirits, we craft spirits of the highest quality and deliver brilliant experiences to people around the world. Suntory Global Spirits has evolved into the world's third largest leading premium spirits company ... where each employee is treated like family and trusted with legacy. With our greatest assets - our premium spirits and our people...

  • Internal Audit Senior

    2 weeks ago

    Chicago, Illinois, United States Beam Suntory Full time

    At Suntory Global Spirits, we craft spirits of the highest quality and deliver brilliant experiences to people around the world. Suntory Global Spirits has evolved into the world's third largest leading premium spirits company ... where each employee is treated like family and trusted with legacy. With our greatest assets - our premium spirits and our people...

  • Internal Audit Senior

    4 weeks ago

    Chicago, Illinois, United States Suntory Global Spirits Full time

    At Suntory Global Spirits, we craft spirits of the highest quality and deliver brilliant experiences to people around the world. Suntory Global Spirits has evolved into the world's third largest leading premium spirits company ... where each employee is treated like family and trusted with legacy. With our greatest assets - our premium spirits and our people...

  • Intern-Audit

    4 weeks ago

    Chicago, Illinois, United States Metra Full time

    Date Posted: 5/8/2024Posting End Date: 5/31/2024Location: 00-No Union CodeCity: ChicagoState: ILCountry: United States of AmericaCategory: Administrative Support(Including Clerical and Sales)FLSA Status: --Salary Mid Point: --Salary Range: $17.00 - $20.00Description Metra is one of the largest and most complex commuter rail systems in North America,...

  • Senior Associate, Internal Audit Data Analytics

    4 weeks ago

    Chicago, Illinois, United States OCC Full time

    What You'll Do:The role will support and perform audits of varied technologies and processes in support of the strategic goals of the audit function using data analytics. The Data Analytics Senior Associate is responsible for proactively identifying key audit risks, including providing analytical fieldwork to the engagement teams, developing and maintaining...

  • Internal Audit IT Specialist

    4 weeks ago

    Chicago, Illinois, United States Alliant Credit Union Full time

    In this role, you will be responsible for development and execution of a comprehensive, high quality audit program over IT infrastructure, applications, and processes. Lead and conduct IT audit projects, provide consulting services to the organization's management and staff; and provide key input to development of the risk-based annual internal audit plan....

  • Audit Intern

    4 weeks ago

    Chicago, Illinois, United States RSM US LLP Full time

    We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, inclusive culture and talent experience and our ability to be compelling to our clients. You'll...

  • Audit Intern

    4 weeks ago

    Chicago, Illinois, United States RSM US LLP Full time

    We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, inclusive culture and talent experience and our ability to be compelling to our clients. You'll...

  • Assistant Internal Audit Manager

    3 days ago

    Chicago, Illinois, United States Ferrero Full time

    Job Location: ​Chicago​Company descriptionFerrero is a family-owned company with a truly progressive and global outlook and iconic brands such as Nutella, Tic Tac, Ferrero Rocher, Raffaello, Kinder Bueno and Kinder Surprise. As the love for our brands continues to grow, so too does our global reach. Represented in more than 50 countries, with products...

  • Assistant Internal Audit Manager

    19 hours ago

    Chicago, Illinois, United States Ferrero Full time

    Job Location: Chicago Company description Ferrero is a family-owned company with a truly progressive and global outlook and iconic brands such as Nutella, Tic Tac, Ferrero Rocher, Raffaello, Kinder Bueno and Kinder Surprise. As the love for our brands continues to grow, so too does our global reach. Represented in more than 50 countries, with products sold...

  • Internal Audit Senior

    2 weeks ago

    Chicago, Illinois, United States Beam Suntory Full time

    At Suntory Global Spirits, we craft spirits of the highest quality and deliver brilliant experiences to people around the world. Suntory Global Spirits has evolved into the world's third largest leading premium spirits company ... where each employee Internal Auditor, Internal, Audit, Senior, Accounting, Business, Manufacturing, Business Services