Principal Regulatory Compliance Strategist
National Black MBA Association
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Benefits offered by this job
Job summary
The Options Clearing Corporation (OCC) is seeking a Compliance professional to lead and enhance regulatory advisory services across IT and security domains. You will collaborate with business units, auditors and regulators to ensure adherence to SEC, CFTC, and related standards while driving continuous improvement in controls and reporting.
You will work in a hybrid environment with cross-functional teams, contributing to the annual compliance report and policy updates.
Qualifications
- Strong working knowledge of securities and commodities rules and regulations (SEC, CFTC).
- Experience in risk and control frameworks and process improvement including Cloud environments (COBIT, COSO, ITIL, NIST).
- Bachelor's degree in a business/finance-related discipline; 5+ years IT/Security Compliance or related field.
Responsibilities
- Identify and establish processes, controls and tools for regulatory advisory services.
- Provide guidance on regulatory obligations across business units and remediation plans.
- Support regulatory exams, reporting to CCO, executive management and the Board.
Skills
Education
Tools
Job description
The Options Clearing Corporation (OCC) is seeking a Compliance professional to lead and enhance regulatory advisory services across IT and security domains. You will collaborate with business units, auditors and regulators to ensure adherence to SEC, CFTC, and related standards while driving continuous improvement in controls and reporting.
You will work in a hybrid environment with cross-functional teams, contributing to the annual compliance report and policy updates.
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