Associate Principal, Internal Audit, Information Technology & Security

The Options Clearing Corporation; Dallas (TX); On-site; USD 105,000 - 171,000; Full time

Job summary

The Options Clearing Corporation (OCC) is seeking an Associate Principal for Internal Audit, Information Technology & Security in Dallas. You will lead and support independent IT and security audits, assess risk management processes, and deliver actionable recommendations to improve controls.

The role requires deep knowledge of IT controls, industry standards, and effective communication with stakeholders. Responsibilities include evaluating control effectiveness, guiding change initiatives, and

Qualifications

• Bachelor’s degree in IT, CS, or related field.
• 5+ years of audit-related IT and security experience.
• Experience with risk-based IT audits and cyber security reviews.
• Certifications such as CISA, CISSP, CIA preferred.
• Strong written and verbal communication skills.

Responsibilities

• Lead independent assessments of IT security and risk management.
• Ensure audit quality and timely delivery of results.
• Identify regulatory, operational, and strategic risks and advise improvements.
• Lead audits related to change management and technology implementations.
• Collaborate with management and auditees to communicate findings.

Skills

Communication

Problem solving

Analytical ability

Teamwork

Education

Bachelor’s degree in IT/CS/Engineering/Accounting/Finance/Business

Tools

Microsoft Office

CyberArk

Splunk

SailPoint

ServiceNow

Jira

Confluence

GitHub

Oracle

DB2

SQL

AWS

Workday

Archer

Job description

Associate Principal, Internal Audit, Information Technology & Security### Associate Principal, Internal Audit, Information Technology & SecurityApply: Dallas, TX: Full time: Posted Yesterday: REQ-4911# **\\*\\*\\*\\*\\*THIS POSITION IS NOT ELIGIBLE FOR VISA SPONSORSHIP\\*\\*\\*\\*\\******To be considered for this position, applications and resumes are accepted only through our careers site by directly applying to the posted job. We do not accept unsolicited resumes or sales solicitations from staffing agencies. Any OCC employee wishing to submit a referral must do so through their Workday account. Any resume submitted outside of an active job posting will not be considered for employment.*****What You'll Do:**This role will support and lead independent assessments of OCC's Information Technology and Security environment, risk management, and other objectives as needed. The role is 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 management and the auditee. **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 three pillars:Delivery* Support the team on delivery of assigned audits within the annual audit plan.* Support the team 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., change management, security), engagement and alignment of change initiatives to business objectives.Quality* 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, COBIT, NIST CSF) 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.Leadership* Supporting effective relationships with business groups and leadership and partnering with management **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.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] Familiarity with security tools such as: CyberArk, Splunk, SailPoint* [Preferred] Familiarity with change management tools such as: ServiceNow, Jira, Confluence, GitHub* [Preferred] Familiarity with databases such as: Oracle, DB2, SQL* [Preferred] Familiarity with cloud based solutions: AWS, Workday* [Preferred] Proficiency using Archer or other audit or Governance Risk and Compliance (GRC) software **Education and/or Experience:*** [Required] Bachelor’s degree (or equivalent) in Information Technology, Computer Science, Computer Engineering, Accounting, Finance, Business Administration, or related field.* [Required] 5+ years of experience (audit-related) in conducting risk-based Information Technology and Security audits and projects, cyber security reviews, and internal audits. **Certificates or Licenses:**[Preferred] Certified Information Systems Auditor (CISA), Certified Information Systems Security Professional (CISSP), Certification in Risk Management Assurance (CRMA), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or equivalent. **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 23 exchanges and trading platforms. More information about OCC is available at www.theocc.com.**Benefits**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* 401k Employer Match* Competitive health benefits including medical, dental and visionVisit https://www.theocc.com/careers/thriving-together for more information.**Compensation*** The salary range listed for any given position is exclusive of fringe benefits and potential bonuses. If hired at OCC, your final base salary compensation will be determined by factors such as skills, experience and/or education.* In addition, we believe in the importance of pay equity and consider internal equity of our current team members as part of any final offer.* We typically do not hire at the maximum of the range in order to allow for future and continued salary growth. We also offer a substantial benefits package as noted on www.theocc.com/careers* All employees may be eligible for a discretionary bonus. Discretionary bonuses are based on various factors, including, but not limited to, company and individual performance and are not guaranteed.**Salary Range**$104,800.00 - $170,600.00**Incentive Range**8% to 15%This position is eligible for an annual discretionary incentive compensation award, for which the target range is listed above (see **Incentive Range**). The amount of such award, if any, will be based on various factors, including without limitation, both individual and company performance.