Associate Principal, Business & Risk Auditor
Company: Options Clearing Corporation
Location: Chicago
Posted on: May 3, 2024
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Job Description:
What You'll Do:This role will support independent assessments of
OCC's financial and operational business processes, 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:DeliverySupport 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., changes to the supported business processes), engagement and
alignment of change initiatives to business
objectives.QualityMaintaining 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, COSO) 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.LeadershipSupporting 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:QualificationsAbility 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.ExperienceExperience 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 regulatory
organizations such as: Securities and Exchange Commission (SEC),
Commodity Futures Trading Commission (CFTC), Financial Industry
Regulatory Authority (FINRA), Federal Reserve.Technical Skills:
Required Microsoft Office applications Preferred Proficiency using
Archer or other audit or Governance Risk and Compliance (GRC)
softwareEducation and/or Experience:Bachelor's degree (or
equivalent) in Accounting, Finance, Business Administration, or
related field5+ years of experience (audit-related) in conducting
risk-based operational and compliance audits and projects, business
process reviews and internal auditsCertificates or Licenses:
Preferred one of the following or equivalent certifications:
Certified Financial Services Auditor (CFSA), Certification in Risk
Management Assurance (CRMA), Certified Internal Auditor (CIA),
Certified Public Accountant (CPA)Who We AreThe Options Clearing
Corporation (OCC) is the largest equity derivatives organization in
the world. We provide central counterparty clearing and settlement
services for equity options, futures, options on futures, and
securities lending transactions. We serve approximately 115
clearing members and 15 exchanges including CBOE, Nasdaq, and
NYSE.What We OfferWe offer a highly collaborative and supportive
environment developed to encourage work-life balance and employee
wellness. Some of these components include:A hybrid work
environmentUp to 2 days per week of remote workTuition
Reimbursement to support your continued educationStudent Loan
Repayment AssistanceTechnology Stipend allowing you to use the
device of your choice to connect to our network while working
remotelyGenerous PTO and Parental leaveCompetitive health benefits
including medical, dental and visionStep 1When you find a position
you're interested in, click the 'Apply' button. Please complete the
application and attach your resume.Step 2You will receive an email
notification to confirm that we've received your application.Step
3If 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
Keywords: Options Clearing Corporation, Lombard , Associate Principal, Business & Risk Auditor, Accounting, Auditing , Chicago, Illinois
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