38 Manager, Compliance Monitoring Jobs in Chicago, IL
Options Clearing Corporation is Hiring a Manager, Compliance Monitoring Near Chicago, IL
- Oversee the facilitation of the management self-testing program, including drafting of test plans, launching campaigns, reviewing of results, and reporting on program.
- Oversee and advance the management self-testing quality assurance program.
- Facilitate, review and report on the company’s attestation program.
- Oversee the Compliance automated testing activities and enhance the testing program in order to provide assurance and insight into the compliance-related activities of the organization.
- Design and perform tests of controls for design and operational effectiveness, as needed.
- Perform secondary review of compliance review checklist related to findings remediation efforts.
- Report on output of programs to stakeholders, senior management, and the board.
- In coordination with other members of the department, develop tools and reports for Assurance and Monitoring.
- Work with internal stakeholders (ORMC, Internal Audit, others) to determine ways to leverage work and maximize efficiency across the organization.
- Escalate issues to the Executive Director, Assurance and Monitoring, and the Chief Compliance Officer, as needed.
- Perform other duties as assigned.
- Supervise a team of Associate Principals and Senior Associates.
- Prioritize and distribute assignments, projects, and initiatives to ensure delivery of work product to accomplish objectives and goals.
- Promote staff’s personal and professional development.
- Perform administrative supervisory activities including performance reviews, corrective action documentation, and other tasks as needed.
- Strong background and knowledge in process management, including familiarity with issue management or audit best practices.
- Understanding of the role and importance of internal controls within the organization.
- Strong analytical skills with the ability to apply judgment to provide efficient and effective solutions, and to analyze all collected data to garner useful results.
- Ability to prepare informative and concise reports depicting the current situation and historical trends.
- Excellent written and oral communication skills and the ability to interact with various departments to successfully collect needed information.
- Ability to adapt quickly to changing priorities, environment constraints, and project deadlines.
- Ability to manage multiple efforts concurrently.
- Spreadsheet expertise (i.e. Excel).
- Documentation expertise (i.e. Word)
- Presentation experience (i.e. PowerPoint, Word, and Publisher)
- eGRC experience (specifically RSA Archer), preferred
- SOC experience and/or knowledge of COSO preferred.
- Bachelor’s Degree in Business, Finance, Accounting, or a related discipline.
- 7-10 years related experience, preferably 3 years within financial services.
- Familiarity with internal controls role within an organization.
- Experience in identifying process improvements.
- Experience in project planning and reporting results.
- Experience with managing multiple projects simultaneously.
- CPA, CIA, CISA or other related certification, preferred.
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Job Summary
Full Time
Wholesale
$116k-148k (estimate)
09/02/2024
10/31/2024
theocc.com
CHICAGO, IL
1,000 - 3,000
1973
Private
JAMES S METCALF
$500M - $1B
Wholesale
Related Companies
About Options Clearing Corporation
OCC provides central counterparty clearing and settlement services to exchanges and trading platforms.
The job skills required for Manager, Compliance Monitoring include Initiative, Internal Audit, Integrity, Internal Control, Coordination, Quality Assurance, etc. Having related job skills and expertise will give you an advantage when applying to be a Manager, Compliance Monitoring. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Manager, Compliance Monitoring. Select any job title you are interested in and start to search job requirements.
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