What are the responsibilities and job description for the Senior Associate, Internal Audit Information Technology & Security position at The Options Clearing Corporation?
What You'll Do
This role will support independent assessments of OCC's Information Technology and Security environment, 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:
Delivery
Support the team, both OCC and/or co-sourced resources, on delivery of assigned audits within the annual audit plan.
Support the team, both OCC and/or co-sourced resources, 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., change management, security), engagement and alignment of change initiatives to business objectives.
Quality
Maintaining 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, COBIT, NIST CSF) 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.
Leadership
Supporting 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:
Ability 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.
Technical Skills:
[Required] Microsoft Office applications
[Preferred] Familiarity with security tools such as: CyberArk, Splunk, SailPoint
[Preferred] Familiarity with change management tools such as: ServiceNow, Jira, Confluence, GitHub
[Preferred] Familiarity with databases such as: Oracle, DB2, SQL
[Preferred] Familiarity with cloud based solutions: AWS, Azure, Oracle Cloud, Workday
[Preferred] Proficiency using Archer or other audit or Governance Risk and Compliance (GRC) software
Education and/or Experience:
[Preferred] Experience working in a complex, fast paced environment.
[Preferred] Consulting and/or accounting firm experience.
[Preferred] Experience in Financial Services/Security Industry and working with regulations such as Regulation Systems Compliance and Integrity (Reg SCI).
[Preferred] 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).
[Required] Bachelor's degree (or equivalent) in Information Technology, Computer Science, Computer Engineering, Accounting, Finance, Business Administration, or related field.
Certificates or Licenses:
[Preferred] one of the following or equivalent certifications: Certified Information Systems Auditor (CISA), Certified Information Systems Security Professional (CISSP), Certification in Risk Management Assurance (CRMA), Certified Internal Auditor (CIA), Certified Public Accountant (CPA)
Who We Are
The 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 Offer
We offer 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
Competitive health benefits including medical, dental and vision
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 , please click .
OCC is an Equal Opportunity Employer
