Principal, Regulatory Evaluation

What You'll Do:

This role will serve as a subject matter expert to support a team evaluating OCC’s compliance with existing regulatory obligations and rules proposed by OCC’s regulators. This role is highly focused on review of the organization’s compliance with applicable regulatory and legal rules and requirements (i.e., SEC RegSCI, SEC CCA, CFTC DCO, Federal Reserve, etc.) and the evaluation of OCC practices in the context of industry best practice and guidance provided by international and other regulatory agencies.. Primary responsibilities include leveraging subject matter expertise to support and drive evaluations through the lens of OCC’s legal framework, monitoring changes to regulations that may impact the organization's regulatory compliance posture, advising business units on regulatory compliance matters,  and reviewing company policies, procedures, and controls. This role will be responsible for providing technical leadership in identifying, recommending, and driving enhancements to the performance, integrity, and compliance of the organization’s processes.

Primary Duties and Responsibilities:

To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.

• Leverage technical expertise to support regulatory evaluations spanning highly technical subject matter areas concerning information technology (including governance, networking, cloud architecture, containerization and agile delivery etc.), security services (including threat & vulnerability management, data & information management, data loss & privacy, security operations etc.), financial risk management (including credit risk, liquidity risk, model risk, stress testing, default management, etc.), clearing and settlement, enterprise risk management (including operational risk, third party risk management, etc.), corporate finance (including accounting, finance, treasury, etc.) and other general business practices

• Assist business units with the identification, understanding, and development of processes, policies, procedures, and controls that effectively demonstrate compliance with regulatory obligations and rules proposed by OCC’s regulators

• Further develop approaches for evaluating OCC’s compliance posture and drive enhancements to OCC practices in alignment with existing and new regulations, industry best practice, and other relevant guidance

• Interact and communicate in a highly effective, professional, and insightful manner with business colleagues within the company and third parties such as external auditors and regulators, as needed

• Exhibit and foster a strong compliance culture across all staff members

• Exhibit and foster strong collaboration across OCC’s control functions (i.e., internal audit, enterprise risk management, compliance, model validation)

• Keep abreast of changes in regulatory environment and industry best practices/frameworks (i.e., NIST, COBIT, ISO, etc.)

• Independently produce and deliver education on regulatory compliance topics

• Perform ad-hoc duties for Compliance management as necessary

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] Expert working knowledge of securities and commodities rules and regulations. (i.e., SEC, CFTC, etc.)

• [Required] Expert working knowledge of compliance related best practices

• [Required] Experience in risk and control frameworks, and process improvement frameworks (e.g. COBIT, COSO, ITIL, NIST, ISO 27001, ISO 9001, CMMI)

• [Required] Expert working knowledge of the financial industry

• [Required] Excellent organizational and communication skills

• [Required] Comprehensive analytical, conceptual and problem-solving skills

• [Required] Ability to manage and prioritize assignments and respond to rapidly shifting priorities

• [Required] Ability to work independently and as a member of a team, collaborating with internal business clients at various levels of seniority

• [Required] Must be able to work under deadlines and manage multiple tasks

• [Required] Strategic thinker, with strong conceptual and problem-solving skills

Technical Skills:

• [Required] Proficiency with MS Office software

• [Preferred] Experience using an integrated risk management system (such as RSA Archer)

• [Preferred] Experience using NAVEX Global and PolicyTech

Education and/or Experience:

• [Required] Bachelor's Degree in Accounting, Business, Economics, Finance, other business and finance-related discipline or Information Systems, Computer Science or related discipline

• [Required] 10+ years of experience

• [Preferred] Experience working in compliance, audit, or risk for a financial services company

• [Preferred] Familiarity with the Securities Exchange Act of 1934 and the Commodity Exchange Act

Certificates or Licenses:

• [Preferred] CPA, CFA, CIA, CFE, CISA, CISSP, CRISC, CCSP etc.

Salary Range

161,500.00 - 193,300.00 - 225,100.00 USD Annual

Incentive Range

23% to 30%

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