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:Bachelors
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 Employerby Jobble
Keywords: Options Clearing Corporation, Elmhurst , Associate Principal, Business & Risk Auditor, Accounting, Auditing , Chicago, Illinois
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