Senior Internal Auditor


Job Details:
The Options Clearing Corporation (OCC), the world’s largest equity derivatives clearinghouse, is seeking a Senior Auditor who will take a lead role in performing audits of technology and business processes in support of the strategic goals of the audit function. The Senior Auditor is responsible for leading or supporting audits to proactively identify regulatory, operational, and technology risks and presenting recommendations for improvements to Management.

Primary Responsibilities:

Plan and execute assigned audits and projects in accordance to the three-year audit plan. Lead engagements as assigned, monitoring either internal or co-sourced teams in the performance of normal or special request audit assignments. All audits must be of high quality, completed accurately, and in a timely manner.
Draft audit reports in a clear and concise manner, effectively relaying audit results and associated action plans.
Proactively identify operational, regulatory, and/or technology risks and deliver recommendations for improvements to senior management.
Interpret policy and procedure and apply professional principles and standards (i.e., IIA IPPF, COSO, CPSS-IOSCO, COBIT, and/or NIST) to test and evaluate corporate technology systems and operational processes.
Identify and analyze root causes of inefficient practices and propose alternatives by partnering with Management to develop achievable solutions.
Maintain effective relationships with business/technology groups at OCC and support a partnership with Management in achievement of goals.
Maintain an understanding of policies, procedures, standards, and supporting technologies to effectively identify potential risks or creative alternatives to mitigate risk exposure.
Keep current on best practices and emerging risks within the financial services industry, making recommendations for improvements as necessary.
Occasionally serve as a liaison with external auditors and regulators to help facilitate timely and efficient external reviews, knowledge transfer, and controls and process education.
Perform other duties as assigned.


Certified Information Systems Auditor (CISA), Certified Internal Auditor (CIA) /or Certified Public Accountant (CPA) is preferred.
Bachelor's degree or equivalent (advanced degree preferred) in Accounting, Business Administration, Economics, Risk Management, Finance, Management Information Systems or a related field Additional industry, technical, or audit-related certifications such as Certified Information Systems Security Professional (CISSP), Series 3, or other related certifications a plus.
Minimum of four years of audit experience in conducting risk-based operational and compliance audits and projects, business process reviews and internal audits across various environments.
Demonstrated success in leading risk-based audits and projects and implementing audit best practices.
Experience in Financial Services/Security Industry and working with regulatory organizations (SEC, CFTC, FINRA, Federal Reserve), a plus.
Knowledge of audit software, including Archer eGRC is a plus.
Strong influential, analytical, and verbal/written communication skills.
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
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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.