Principal, Assistant General Counsel

1 month ago

Washington, Washington, D.C., United States OCC Full time

What You'll Do:
The Principal, Associate General Counsel, will provide senior legal counsel to internal business clients on both routine and complex matters regarding legal risk related primarily to key domestic, as well as certain international, regulatory policies and other public policy initiatives and proposals that may impact OCC, OCC's Clearing Members, and the U.S. listed options industry. This role is responsible for drafting comment letters in response primarily to key domestic, as well as certain international, regulatory rule proposals and consultations.
Primary Duties and Responsibilities:
To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.

  • Provide legal and regulatory support to business partners including, but not limited to, drafting comment letters and other documents; reviewing documents to help ensure accuracy, consistency, and overall quality; and other necessary actions to provide thorough legal advice to business partners.
  • Act as subject matter expert for the legal function by providing specialized legal and regulatory advice to internal clients on a variety of matters, with an emphasis primarily on domestic, as well as certain international, regulatory policy. Review industry and other related comment letters and provide legal advice on the appropriate course of action for OCC.
  • Monitor domestic regulatory policy issues and developments related to central counterparties; the U.S. options, futures, and securities lending industries; and other issues to communicate internally and externally the legal impact of regulatory changes on OCC and coordinate OCC's responses to those changes. Prepare summaries of rule proposals initiated by other CCPs. Coordinate and host monthly internal Regulatory Review Team meetings.
  • Work with the internal Government Relations team to track and provide legal advice on changes primarily to domestic, as well as certain international, laws, regulations, and guidance released from various regulatory bodies including, but not limited to, the Federal Reserve Board, the SEC, CFTC, CPMI-IOSCO, the Basel Committee, the Bank of England, the Financial Stability Board, the European Securities and Market, and CPMI that may have an impact on clearing services, options, futures and/or the securities lending industry.
  • Review pertinent legislative drafts to determine legal impact to OCC and its stakeholders.
  • Assist with preparation of senior management in advance of international and domestic regulatory meetings and participate in meetings with representatives from international and domestic regulatory bodies, as necessary.
  • Assist in ensuring business initiatives are in compliance with current and proposed regulatory requirements applicable to OCC.
  • May be required to assist in supervision of outside counsel, as necessary.
  • Perform other duties as required.

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.

  • [Required] Eight to ten years of experience in one or more of the following areas: domestic securities and commodity laws, regulations, and other regulatory guidance.
  • [Required] Experience working with regulatory agencies or regulated financial institutions.
  • [Preferred] General working knowledge of the clearance and settlement and risk management functions of a clearing organization.
  • [Required] Ability to promptly produce high-quality, accurate, and detailed work product.
  • [Required] Excellent analytical and problem-solving, interpersonal and communication, and collaboration skills.
  • [Required] Capable of handling several substantial medium to high complexity matters with a significant degree of independence; excellent writing skills.
  • [Required] Ability to expeditiously identify and assess issues and provide legally sound recommendations consistent with good business practices and reason and to quickly shift priorities in response to changing and high-pressure business environment or priorities.
  • [Preferred] General working knowledge of the clearance and settlement and risk management functions of a clearing organization.
  • [Required] An ability to communicate complex and technical issues to diverse audiences, orally and in writing, to diverse audiences in an easily understood, authoritative, and actionable manner.
  • [Required] Ability to cultivate and build collaborative working relationships with a broad range of enterprise stakeholders, both internal and external.

Technical Skills:

  • MS Office, Excel

Education and/or Experience:

  • Juris Doctor (JD)

Certificates or Licenses:

  • Admitted to the Bar in Illinois

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

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