Compliance Analyst


Compliance Analyst - Testing
Options Clearing Corporation- Chicago, IL

Job Details:


This role is as an integral part of the Compliance Department and will interact frequently with OCC’s business departments. With oversight by the Department’s managerial staff, the Compliance Analyst will conduct the Compliance Testing, which will include, but not be limited to, reviewing remediation items prior to Internal Audit validation.

Primary Duties and Responsibilities:

General Responsibilities

Work directly with business units to support compliance related activities.

In conjunction with managers, develop comprehensive and sustainable solutions for business units to consider as part of their efforts to demonstrate compliance and operational resiliency.

Identify opportunities for increased effectiveness and efficiency in current compliance processes.

Compliance Testing Responsibilities

Partner with third line to understand requirements for remediated findings.

Review remediated findings submitted by business owners prior to third line validation.

Work with the Regulatory Compliance Advisory team to provide constructive feedback to business owners on reviewed findings.

Identify trends in remediation gaps in order to highlight training or education opportunities.

Review policy, procedures and controls for design and operating effectiveness resulting from regulatory changes, monitoring and metrics, management request or other triggering events.


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 attention to detail and analytical skills including data analytics and reporting.

Strong interpersonal skills, including excellent written and oral communication skills.

Ability to think creatively and present ideas clearly.

Ability to manage multiple tasks/projects and deadlines simultaneously, as well as shifting priorities.

Ability to interact and collaborate with all levels of the organization and across a multitude of departments is essential.

Comprehensive analytical, conceptual, and problem solving skills.

Technical Skills:

Microsoft Office Proficiency including advanced Excel, PowerPoint and Word
Experience with eGRC tools, preferably RSA Archer

Education and/or Experience:

1-3 years of analytical experience, preferably in an audit, compliance, enterprise risk or related consulting function

Bachelor's Degree required

Certificates or Licenses:

CIA, CISA or related certification, preferred

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

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