Senior Associate, Compliance Monitoring - Data Analytics

What You'll Do:

This role will report to the Manager of Compliance Monitoring and provide technical solutions for programs that ensure compliance with OCC’s regulatory and internal control environment. Responsibilities include automating the organization’s control testing program, quality assurance, monitoring and surveillance tools, and generating reports related to board reporting.

Primary Duties and Responsibilities

To excel in this role, an individual must be able to perform each primary duty satisfactorily:

• Build automated workflows for data extraction, processing, and conversion to standardized data models.
• Configure data pipelines to automate processes related to different Compliance program aspects.
• Develop dashboards for Control Testing Automation, Findings, and Risk identification.
• Design and develop automated, sustainable reporting for various audiences including management, the Chief Compliance Officer, the Board of Directors, and regulators.
• Support the analytics framework by following best practices in code review, testing, documentation, and technical writing.
• Assess and utilize existing technologies and data sets to drive analyses and inform Compliance decision-making.
• Escalate issues to the Manager, Compliance Monitoring, as necessary.
• Perform other duties, as assigned.

Supervisory Responsibilities

Not Applicable.

Qualifications

The ideal candidate will possess the following skills and abilities:

• Strong programming skills oriented towards data analytics.
• Proficiency in SQL with experience writing complex queries for data extraction. Experience in database development and management is a plus.
• Familiarity with API protocols and extracting data from REST APIs and source systems.
• Experience with cleaning and analyzing large, complex datasets.
• Experience building dashboards and reports in Tableau or similar tools.
• Excellent technical and analytical skills to deliver efficient solutions quickly.
• Strong communication skills to articulate technical solutions to business users and senior management.
• Ability to work effectively across teams and with subject matter experts to develop requirements and analyze data.
• Ability to manage and prioritize multiple assignments with rapidly shifting priorities.
• Ability to work independently and as part of a team.
• Experience with Agile framework and versioning tools like Git.
• Understanding of statistics and quantitative analysis, preferred.

Technical Skills

• Proficiency in data extraction, manipulation, and processing using Python (Pandas/Numpy), Matlab, or R. OOP skills (C++/Java) are a plus.
• SQL programming on relational databases. Splunk knowledge is a plus.
• Experience with data visualization libraries in Tableau or Python/R. Familiarity with Curator is a plus.
• Experience with workflow tools like Alteryx, Power BI, or scheduling automated jobs in Windows or Unix environments.
• Experience building end-to-end data pipelines using best practices in development and testing.

Education and/or Experience

Required qualifications include:

• 0-3 years of experience in software development, data analytics, or quantitative analysis.
• 2 years of experience in fintech or the financial industry (a plus).
• 2 years of experience in Risk or Compliance areas (a plus).
• Bachelor’s Degree in Computer Science, Information Systems, Mathematics, Finance, or related discipline.

Certificates or Licenses

Not Required.

Who We Are

The Options Clearing Corporation (OCC) is the world's largest equity derivatives clearing organization, founded in 1973. OCC promotes market stability and integrity by delivering clearing and settlement services for options, futures, and securities lending transactions. Operating under the SEC, CFTC, and Federal Reserve's jurisdiction, OCC serves over 100 clearing members and provides CCP clearing and settlement services to 19 exchanges and trading platforms. More information is available at .

What We Offer

We provide a collaborative and supportive environment focused on work-life balance and employee wellness, including: