Associate Principal, Compliance Monitoring

What You'll Do:

This is a technical role that will report to the Manager, Compliance Monitoring, and will be responsible for assisting in designing and implementing technical solutions for the programs that oversee compliance with OCC's regulatory and internal control environment. This includes, but is not limited to, facilitating the automation of the organization's control testing program by working with business stakeholders to establish data connections to various underlying data sets, as well as establishing, creating, and maintaining data connections, dashboards, and other solutions related to the department's monitoring and surveillance program, including reports to management and the Board, while following development best practices

Primary Duties and Responsibilities:

To perform this job successfully, an individual must be able to perform each primary duty satisfactorily

• Design, build, and maintain automated workflows that enable data extraction, processing, and conversion to standardized data models.

• Develop and maintain data pipelines that ensure end-to-end process automation related to different aspects of the Compliance program.

• Create and maintain department dashboards and other monitoring solutions.

• Implement automated and sustainable reporting for a variety of audiences including management, the Chief Compliance Officer, the Board of Directors, and regulators.

• Support analytics framework by following best practices in code review, testing, documentation and technical writing.

• Optimize existing technologies and data sets and develop new solutions to drive analyses and inform decision-making for Compliance.

• Analyze overall analytics processes strategically and provide comprehensive solutions on a design architecture level.

• Escalate issues to the Manager, Compliance Monitoring, as needed.

• Other duties, as assigned.

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.

• Strong programming skills oriented towards data analytics involving data extraction, manipulation, processing and analysis. Object Oriented Programming skills is a plus.

• Advanced SQL skills and experience writing efficient complex queries for data extraction. Database development and management is a plus.

• Working knowledge of API protocols and extracting data from REST APIs and source systems.

• Experience working with, cleaning and analyzing large and complex data sets and structures to derive meaningful results.

• Experience building dashboards and reports in Tableau, or similar monitoring tool.

• Excellent technical and analytical skills. Ability to deliver thoughtful, efficient solutions quickly in a fast-paced environment.

• Strong understanding of CI/CD, DevOps principles in a data context.

• Experience leveraging AI tools for analytics processes to create efficiencies.

• Ability to communicate technical solutions clearly and effectively to business users and senior management.

• Ability to work across teams and with varying subject matter experts to develop requirements and to obtain and analyze data. Ability to manage and prioritize assignments and respond to rapidly shifting priorities.

• Ability to work independently and as a member of a team.

• Ability to work under deadlines and manage multiple tasks simultaneously.

Technical Skills:

• Proficient programming skills in either Python (Pandas/Numpy), Matlab or R. Object Oriented programming skills (C++/Java), preferred.

• SQL programming on relational databases. Splunk is a plus.

• Tableau or Python/R data visualization libraries. Curator is a plus.

• Experience working on workflow and orchestration tools like Alteryx, Airflow, Power BI or scheduling automated jobs in Windows or Unix environment.

• Experience with cloud data services (AWS, Azure or similar platforms.)

• Building end-to-end data pipelines and using best practices in development and testing.

• Familiarity with Agile framework and versioning tools like Git.

• Experience with Agentic AI tools, generative AI and prompt engineering, preferred.

• Understanding of statistics/quantitative analysis and experience applying these concepts in a business environment, preferred.

Education and/or Experience:

• 3-5 years of software development/data analytics/quantitative analysis roles required.

• 2+ years of fintech or financial industry experience, preferred.

• 2 years working in Risk or Compliance areas, preferred.

• Bachelor's Degree in Computer Science, Information Systems, Mathematics, Finance, or related discipline required.

• Master's Degree preferred.

Certificates or Licenses:

• None

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 19 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. Some of these components include:

• 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

Incentive Range

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.

Step 1
When you find a position you're interested in, click the 'Apply' button. Please complete the application andattach your resume.

Step 2
You will receive an email notification to confirm that we've received your application.

Step 3
If 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