Compliance Monitoring Manager

4 weeks ago

Chicago, United States Options Clearing Corporation Full time
Job Summary

We are seeking a highly skilled Compliance Monitoring Manager to join our team at the Options Clearing Corporation. This role will be responsible for overseeing the facilitation of the management self-testing program, including drafting of test plans, launching campaigns, reviewing of results, and reporting on program.

Key Responsibilities
  • Oversee the facilitation of the management self-testing program, including drafting of test plans, launching campaigns, reviewing of results, and reporting on program.
  • Oversee and advance the management self-testing quality assurance program.
  • Facilitate, review and report on the company's attestation program.
  • Oversee the Compliance automated testing activities and enhance the testing program in order to provide assurance and insight into the compliance-related activities of the organization.
  • Design and perform tests of controls for design and operational effectiveness, as needed.
  • Perform secondary review of compliance review checklist related to findings remediation efforts.
  • Report on output of programs to stakeholders, senior management, and the board.
  • In coordination with other members of the department, develop tools and reports for Assurance and Monitoring.
  • Work with internal stakeholders (ORMC, Internal Audit, others) to determine ways to leverage work and maximize efficiency across the organization.
  • Escalate issues to the Executive Director, Assurance and Monitoring, and the Chief Compliance Officer, as needed.
Requirements
  • Strong background and knowledge in process management, including familiarity with issue management or audit best practices.
  • Understanding of the role and importance of internal controls within the organization.
  • Strong analytical skills with the ability to apply judgment to provide efficient and effective solutions, and to analyze all collected data to garner useful results.
  • Ability to prepare informative and concise reports depicting the current situation and historical trends.
  • Excellent written and oral communication skills and the ability to interact with various departments to successfully collect needed information.
  • Ability to adapt quickly to changing priorities, environment constraints, and project deadlines.
  • Ability to manage multiple efforts concurrently.
Preferred Qualifications
  • Spreadsheet expertise (i.e. Excel).
  • Documentation expertise (i.e. Word).
  • Presentation experience (i.e. PowerPoint, Word, and Publisher).
  • eGRC experience (specifically RSA Archer), preferred.
  • SOC experience and/or knowledge of COSO preferred.
Education and/or Experience
  • Bachelor's Degree in Business, Finance, Accounting, or a related discipline.
  • 7-10 years related experience, preferably 3 years within financial services.
  • Familiarity with internal controls role within an organization.
  • Experience in identifying process improvements.
  • Experience in project planning and reporting results.
  • Experience with managing multiple projects simultaneously.
Certificates or Licenses
  • CPA, CIA, CISA or other related certification, preferred.
About Us

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 https://www.optionsclearing.com.

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.

We are an Equal Opportunity Employer.

  • Manager, Compliance Monitoring

    1 month ago

    Chicago, United States Options Clearing Corporation Full time

    What You'll DoIf you would like to know a bit more about this opportunity, or are considering applying, then please read the following job information.This role will report to the Executive Director, Assurance and Monitoring, and will provide execution and oversight for the programs that oversee compliance with OCC’s regulatory and internal control...

  • GRC Compliance Monitoring Manager

    1 week ago

    Chicago, United States Request Technology, LLC Full time

    ***We are unable to sponsor for this permanent full-time role******Position is bonus eligible***Prestigious Financial Institution is currently seeking a GRC Compliance Monitoring Manager, preferably with RSA Archer experience. Candidate will provide execution and oversight for the programs that oversee compliance with regulatory and internal control...

  • GRC Compliance Monitoring Manager

    1 week ago

    chicago, United States Request Technology, LLC Full time

    ***We are unable to sponsor for this permanent full-time role******Position is bonus eligible***Prestigious Financial Institution is currently seeking a GRC Compliance Monitoring Manager, preferably with RSA Archer experience. Candidate will provide execution and oversight for the programs that oversee compliance with regulatory and internal control...

  • GRC Compliance Monitoring Manager

    1 week ago

    chicago, United States Request Technology, LLC Full time

    ***We are unable to sponsor for this permanent full-time role******Position is bonus eligible***Prestigious Financial Institution is currently seeking a GRC Compliance Monitoring Manager, preferably with RSA Archer experience. Candidate will provide execution and oversight for the programs that oversee compliance with regulatory and internal control...

  • GRC Compliance Monitoring Manager

    4 days ago

    Chicago, Illinois, United States Request Technology, LLC Full time

    We are seeking a highly skilled GRC Compliance Monitoring Manager to join our team at Request Technology, LLC. The ideal candidate will have a strong background in process management, including familiarity with issue management or audit best practices.Key Responsibilities:Oversee the facilitation of the management self-testing program, including drafting of...

  • Dental Monitoring Implementation Specialist

    2 weeks ago

    Chicago, Illinois, United States Dental Monitoring Full time

    About the RoleWe are seeking a highly skilled Dental Monitoring Implementation Specialist to join our team. As a key member of our implementation team, you will be responsible for onboarding new customers and creating custom workflows tailored to their needs.Key Responsibilities:Onboard new customers and create custom workflowsTrain new clinicians and dental...

  • Compliance Manager

    3 days ago

    Chicago, Illinois, United States Buckingham Search Full time

    Job SummaryThis role will oversee the execution and management of programs that ensure compliance with the company's regulatory and internal control environment. The ideal candidate will have a strong background in process management, including familiarity with issue management or audit best practices.Key ResponsibilitiesFacilitate and oversee the management...

  • Compliance Manager

    4 days ago

    Chicago, United States Buckingham Search Full time

    This role will provide execution and oversight for the programs that oversee compliance with the company’s regulatory and internal control environment. This includes, but is not limited to, facilitating and overseeing the management self-testing program, management self-testing quality assurance, annual attestations, and compliance automated testing...

  • Senior Compliance Manager, Investments Compliance

    1 week ago

    Chicago, Illinois, United States American International Group (AIG) Full time

    Job Summary:American International Group (AIG) is seeking a highly skilled Senior Compliance Manager, Investments Compliance to join our team. In this role, you will be responsible for providing compliance and regulatory support to AIG's Investments group, as well as assisting in the oversight of external managers.Key Responsibilities:Review and capture...

  • Environmental Manager

    1 week ago

    Chicago, Illinois, United States Vinci Full time

    Environmental Manager - Sustainability and ComplianceAs an Environmental Manager - Sustainability and Compliance at VINCI Construction Grands Projets USA, you will play a key role in ensuring the company's commitment to environmental sustainability and compliance with regulations. Your primary responsibility will be to develop and implement environmental...

  • Export Compliance Manager

    3 weeks ago

    Chicago, Illinois, United States Littelfuse, Inc. Full time

    Export Compliance SupervisorLittelfuse, a leading global manufacturer of electronic components, is seeking an experienced Export Compliance Supervisor to join our team. As a key member of our global trade team, you will play a critical role in ensuring the efficient movement of goods between countries.Key Responsibilities:Supervise daily activities of a...

  • Customer Success Manager- EMEA

    4 weeks ago

    Chicago, United States DOT Compliance Services Full time

    We are looking for an English and German speaking Customer Success Manger (CSM) to become an integral part of our Customer Success team. As a CSM, you will lead the customer through their journey at Dot Compliance, facilitate adoption and ensure engagement. You will be working in collaboration with the customers and closely with our services, support,...

  • Construction Compliance Manager

    4 weeks ago

    Chicago, United States GMA Construction Group | GMA of IL Full time

    Job DescriptionJob DescriptionGMA Construction Group is seeking an experienced Compliance Officer. The ideal candidate will provide regulatory program management aimed at ensuring all regulatory requirements for the project are met and or exceeded.SUMMARY DESCRIPTIONUnder administrative direction, directs, manages, supervises, and coordinates the activities...

  • Construction Compliance Manager

    3 days ago

    Chicago, Illinois, United States GMA Construction Group | GMA of IL Full time

    Job DescriptionGMA Construction Group is seeking an experienced professional to lead our Construction Compliance Division. The ideal candidate will provide regulatory program management, ensuring all project requirements are met and exceeded.Key Responsibilities:Direct and manage the activities of the Construction Compliance Division, including the...

  • Compliance Manager

    1 week ago

    Chicago, Illinois, United States International Fellowship of Christians & Jews, Inc Full time

    Job SummaryThe Compliance Manager will be responsible for ensuring the organization's compliance with regulatory requirements and managing contracts to minimize risk. This role will involve reviewing contracts, negotiating with vendors, and implementing policies and procedures to ensure compliance.Key Responsibilities:Review and negotiate contracts to ensure...

  • Compliance Manager

    2 weeks ago

    Chicago, Illinois, United States International Fellowship of Christians and Jews Full time

    Job DescriptionThe International Fellowship of Christians and Jews is seeking a highly skilled Compliance Manager to join our team. As a key member of our organization, you will be responsible for addressing contract management by providing cost-effective solutions and strategies for oversight and continuous improvement through the contract lifecycle.This...

  • Risk and Compliance Manager

    4 days ago

    Chicago, Illinois, United States Early Warning Services Full time

    Job SummaryWe are seeking a highly skilled Risk and Compliance Manager to join our team at Early Warning Services. As a Risk and Compliance Manager, you will be responsible for ensuring the quality of our control environment across the first line of defense by performing validation of controls identified through Risk and Control Self Assessments, Process...

  • Compliance Officer, Asset Management Professional

    4 days ago

    Chicago, Illinois, United States Northern Trust Full time

    About Northern Trust: As a globally recognized financial institution, Northern Trust is committed to providing innovative financial services and guidance to the world's most successful individuals, families, and institutions. With over 130 years of financial experience and a team of over 22,000 partners, we serve the world's most sophisticated clients using...

  • Compliance Specialist

    4 weeks ago

    Chicago, Illinois, United States BANNER PROPERTY MANAGEME LLC Full time

    Compliance Monitor Job DescriptionAt Banner Property Management LLC, we are seeking a highly skilled Compliance Monitor to join our team. As a Compliance Monitor, you will play a critical role in ensuring that our company, HUD, and other funding partners' compliance regulations, policies, and procedures are followed.Key Responsibilities:Ensure overall...

  • Compliance Manager

    1 week ago

    chicago, United States Request Technology, LLC Full time

    Compliance ManagerSalary: $140k-$150k + bonusLocation: Chicago, ILHybrid: 3 days onsite, 2 days remote*We are unable to provide sponsorship for this role*QualificationsBachelor’s Degree7+ related experience with 3+ years in the financial services industryFamiliarity with internal controls within an organization.Experience in identifying process...