Director, Internal Audit. Operations

What You'll Do:
This role will support OCC's Internal Audit team as a "Center for Efficiency" in overseeing the execution, escalation, and completion of the portfolio of audits, validation, and department special projects while working to improve the functions efficiency and effectiveness through innovation and automation. This individual will focus on confirming that the department delivers its commitments on time, operates within the assigned budget, and reports status efficiently to the Board of Directors. The Director of Operations will also own and be accountable to a develop a strategy to automate significant activities such as: Audit Committee reporting, policy and procedure documentation maintenance, employee and co-source resource onboarding, and departmentwide training delivery (content will be developed by the department) and execute the annual external co-source provider assessment.
Primary Duties and Responsibilities:
To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.

• Manage and progress automation supporting the process of tracking the portfolio of audits against estimated budgets (hours), actual hours incurred, and overall progress tracking and reporting. Escalate challenges to IAD Leadership related resource management and scheduling.
• Maintain the department policy and procedure documents, including required annual review and updates and ad-hoc improvements guided by IAD leadership.
• Manage the relationship with IAD co-source provider including but not limited to: administrative responsibilities for all co-source resources, coordinating all onboarding and offboarding requirements, monitoring performance and delivery, and reporting on co-source budget performance.
• Manage and progress automation supporting Audit Committee (AC) reporting, managing the workflow to collect and produce the required presentation decks and coordinating with Corporate Secretary to publish materials to the AC timely.
• Overall management and development of automation supporting the IAD budgeting process, coordinating with IAD leadership for creation of annual budgets, and tracking and escalation of expenses and reporting as needed to support IAD deliver its commitments within the designated budget.
• Drive continuous improvement and automation in the IAD Operations Process by identifying, proposing, and executing on IAD operations process improvements.
• Report IAD's Key Performance Indicators (KPI) and maintaining those metrics and proposing and creating new KPIs as needed.
• Lead the administration and production of regulatory requests.
• Support development of the team's audit skills through annual skills assessment.
• Support IAD training and certification efforts including registration, logistics, and tracking.
• Administer customer satisfaction surveys at the conclusion of each audit and report the results to the audit team and IAD leadership.

Supervisory Responsibilities:
Manage a team.
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.

• [Preferred] Knowledge of 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).
• [Required] Demonstrated ability to gather, analyze, and evaluate facts, and prepare and present concise oral and written reports.
• [Required] Ability to communicate clearly and effectively, both orally and in writing, including the ability to handle potentially sensitive situations and discussions.
• [Required] Ability to work independently or as part of a team, prioritizing multiple audit assignments to simultaneously complete each in a timely fashion.
• [Required] Strong problem solving and analytical capabilities.
• [Required] Experience working in a complex, fast paced environment required.
• [Required] Demonstrated success in leading audit projects and implementing audit leading practices in a complex environment.
• [Required] Strong customer service and collaboration skills required.
• [Required] Effective influence, analytical and verbal/written communication skills required.
• [Preferred] Consulting/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.
• [Required] Strong proficiency using Archer or other audit or Governance Risk and Compliance (GRC) software.
• [Preferred] Knowledge of Tableau, ACL, or other data visualization or reporting tools preferred.

Education and/or Experience:

• [Required] Bachelor's degree (or equivalent) in Accounting, Finance, Business Administration or related field.
• [Required] 10+ years of experience in supporting an audit department with the operations, or audit-related experience in conducting risk-based and/or compliance audits and projects, business process reviews.

Certificates or Licenses:

• [Preferred] Project Management Professional (PMP), Certified Financial Services Auditor (CFSA), Certification in Risk Management Assurance (CRMA), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or equivalent.

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