Address
Form of work
SalaryWhat You'll Do:
This role will manage independent assessments of OCC's financial and operational business processes, risk management, and other objectives as needed. The role is responsible for defining the proper scope, approach, and quality are integrated into each audit and that regulatory, operational, and strategic risks are sufficiently mitigated by Management. This role will also be required to present recommendations for improvements to the Internal Audit Leadership and finding owners. In addition, as a manager you will own the coaching of your direct reports, developing their skills and supporting their career development.
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 four pillars:
Delivery
- Aid in the development of the risk assessment and comprehensive audit plan on an annual basis.
- Lead multiple audits and validations simultaneously.
- Defining and leading the execution of audit projects in accordance with the annual audit plan.
- Owning the audit quality, accuracy of results, and delivery in a timely manner.
- 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
- Ability to clearly articulate 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.
- 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.
- Keeping current on leading practices and emerging risks within the financial services industry and making recommendations for improvements as necessary.
- Serving as a liaison with external parties and regulators to facilitate timely and efficient external reviews, knowledge transfer, and controls and process education.
- Supporting other department-wide activities such as but not limited to peer reviews of audit deliverables, policy and procedure development and refinement, etc.
Leadership
- Lead and implement strategic initiatives related to new audit programs/processes, technology or other initiatives.
- Planning, leading and reporting for risk-based and special request audit assignments.
- Proactively identifying regulatory, operational, and/or strategic risks to the organization and deliver recommendations for improvements to senior leadership.
- Developing and maintaining effective relationships with business groups and leadership and partnering with management.
Team Development
- Effectively lead audit staff, providing direction, clearly defined performance expectations, coaching and feedback, and recognition/motivation.
- Providing oversight and coaching to the team, both internal and/or co-sourced resources, confirming the delivery, quality and auditee experience.
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.
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 regulations such as Regulation Systems Compliance and Integrity (Reg SCI).
Technical Skills:
- [Required] Microsoft Office applications
- [Preferred] Strong proficiency using Archer or other audit or Governance Risk and Compliance (GRC) software
Education and/or Experience:
- [Required] Bachelor’s degree (or equivalent) in Accounting, Finance, Business Administration or related field
- [Required] 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:
- [Required] 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 www.theocc.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
Step 1
When you find a position you're interested in, click the 'Apply' button. Please complete the application and attach your resume.
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.
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.
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
