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Associate Principal, Business Operations

2 months ago

Chicago, Illinois, United States OCC Full time

About the Role:

This is a challenging and rewarding opportunity to support the independent assessment of OCC's financial and operational business processes, risk management, and other objectives as needed. The successful candidate will be 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.

Key Responsibilities:

  • Support the team on the delivery of assigned audits within the annual audit plan.
  • Support the team in 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 and Leadership:

  • 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.
  • Supporting effective relationships with business groups and leadership and partnering with management.

Qualifications and Experience:

  • 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.

Preferred Qualifications:

  • 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).
  • Consulting and/or accounting firm experience.
  • 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:

  • Microsoft Office applications.
  • 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.
  • 5+ years of experience (audit-related) in conducting risk-based operational and compliance audits and projects, business process reviews and internal audits.

Certificates or Licenses:

  • 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).

About OCC:

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.

About Our Culture:

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.