Senior Regulatory Compliance Leader

The Options Clearing Corporation; Chicago (IL); Hybrid; USD 97,000 - 137,000; Full time

Benefits offered by this job

Hybrid work environment

Tuition Reimbursement

Student Loan Repayment Assistance

Technology Stipend

Generous PTO & Parental leave

401k Employer Match

Job summary

The Options Clearing Corporation (OCC) is seeking a senior Compliance leader to guide and strengthen the company’s regulatory posture. You will advise business units on SEC/CFTC obligations, audits, and remediation, partnering with IT and Security Services to implement robust controls.

In a hybrid work environment, you will drive policy development, risk management initiatives, and continuous improvement of compliance programs across the organization.

Qualifications

• Bachelor's degree in accounting, business, economics, finance, information systems or related field.
• 5+ years of IT/security compliance, risk management, audit, or related experience.
• Familiarity with Securities Exchange Act of 1934 and Commodity Exchange Act.

Responsibilities

• Lead a team to provide regulatory advisory services to business units.
• Drive compliance programs, policies, controls, and remediation.
• Monitor regulatory changes and implement IT/security compliance updates.
• Interface with internal audit, ERM, and regulators as needed.
• Prepare and deliver compliance reports to leadership and Board.

Skills

Regulatory knowledge (SEC/CFTC)

Compliance best practices

Risk & control frameworks

Communication & collaboration

Independent work

Education

Bachelor's Degree in Business/Finance/IS or CS

Tools

RSA Archer

PolicyTech

NAVEX Global

Job description

The Options Clearing Corporation (OCC) is seeking a senior Compliance leader to guide and strengthen the company’s regulatory posture. You will advise business units on SEC/CFTC obligations, audits, and remediation, partnering with IT and Security Services to implement robust controls.

In a hybrid work environment, you will drive policy development, risk management initiatives, and continuous improvement of compliance programs across the organization.