Senior Associate, Internal Audit Information Technology & Security

OCC; Chicago (IL); Hybrid; USD 83,000 - 135,000; Full time

Benefits offered by this job

Hybrid work environment

Tuition Reimbursement

Student Loan Repayment Assistance

Technology Stipend

Generous PTO and Parental leave

401k Employer Match

Competitive health benefits

Job summary

OCC is seeking an Audit professional to support independent assessments of the organization’s Information Technology and Security environment. You will determine the sufficiency of management controls and present recommendations to the engagement team.

The role emphasizes risk management, regulatory alignment, and audit quality in a fast-paced financial services setting. You will work across delivery, risk evaluation, and advisory activities, supporting audits within the annual plan while

Qualifications

• Ability to communicate clearly and effectively, including handling potentially sensitive discussions.
• Strong problem solving and analytical capabilities.
• Demonstrated ability to gather, analyze, and evaluate facts, and present concise reports.
• Ability to work independently or as part of a team, prioritizing multiple audit assignments.

Responsibilities

• Delivery: Support the team on delivery of audits within the annual plan.
• Support: Ensure professional auditee experience.
• Own audit quality, accuracy, and timely delivery.
• Identify regulatory, operational, and strategic risks and present recommendations.
• Evaluate root causes of exceptions and propose achievable solutions.
• Lead audits related to organizational changes (requirements, tech implementations, change management).
• Maintain understanding of policies and supporting technologies to identify risks and mitigations.

Skills

Audit experience

Clear communication

Analytical thinking

Risk assessment

Regulatory knowledge

Team collaboration

Leadership

Education

Bachelor's degree in IT/Accounting/Finance

Tools

CyberArk

Splunk

SailPoint

ServiceNow

Jira

Confluence

GitHub

Oracle

DB2

SQL

AWS

Workday

Archer

Job description

**_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 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 team.

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: 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:

• 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 [Preferred] Experience working in a complex, fast paced environment.
• Experience [Preferred] Consulting and/or accounting firm experience.
• Experience [Preferred] Experience in Financial Services/Security Industry and working with regulations such as Regulation Systems Compliance and Integrity (Reg SCI).
• Experience [Preferred] 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).

Technical Skills:

[Required] Microsoft Office applications

• Familiarity with security tools such as: CyberArk, Splunk, SailPoint
• Familiarity with change management tools such as: ServiceNow, Jira, Confluence, GitHub
• Familiarity with databases such as: Oracle, DB2, SQL
• Familiarity with cloud based solutions: AWS, Workday
• 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: 2+ 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.
• 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 vision.
• Visit 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 $83,300.00 - $135,100.00
• Incentive Range 6% to 10% - 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.

Equal Opportunity Employer:

OCC is an Equal Opportunity Employer.

OCC is an equal opportunity employer that is committed to diversity, equity, and inclusion. OCC provides equal employment opportunities to all employees and applicants for employment without regard to race, color, national origin, citizenship status, sex, sexual orientation, gender identity or expression, disability, age, marital status, religion, veteran status, or any other characteristics protected by applicable federal, state, or local laws. Numerous studies have shown that people from certain groups are less likely than others to apply to jobs if they believe they do not meet 100% of the requirements. We encourage everyone to review our open positions and apply if you think your experience may be a match, even if you do not meet all of the qualifications. Your perspective may be an element we need to continue building innovative solutions to support the markets and market participants we serve.

If you need a disability related accommodation for any part of the application process, please email [e-mail].