Associate, Financial Risk Oversight

\***_THIS POSITION IS NOT ELIGIBLE FOR VISA SPONSORSHIP_**\* To be considered for this position, applications and resumes are accepted only through our careers site by directly applying to the posted job. We do not accept unsolicited resumes or sales solicitations from staffing agencies. Any OCC employee wishing to submit a referral must do so through their Workday account. Any resume submitted outside of an active job posting will not be considered for employment.

What You'll Do: The Associate, Financial Risk Oversight provides critical support to department leadership by monitoring OCC’s adherence to its risk tolerances, developing risk reporting, monitoring and challenging the effectiveness of OCC’s financial risk management framework, and supporting default management and recovery and wind-down oversight activities. The role will involve close collaboration across teams within the broader Corporate Risk Management function as well as other key OCC stakeholders, including Compliance and first-line Financial Risk Management.

Primary Duties and Responsibilities: To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.

Assist the department in implementing risk management oversight activities to assess, monitor, and report on the adequacy and effectiveness of OCC’s management of financial risk Assist with enterprise risk assessments (ERAs) on first-line Financial Risk Management in coordination with the Operational Risk Management (ORM) team, pursuant to OCC’s enterprise-wide Risk Management Framework (RMF) Assist ORMC with maintenance of risk inventories, taxonomies, and other elements related to financial risk management and compliance activities Develop and leverage an understanding of OCC’s enterprise

risk and assist business units with governance issues and concerns Verify, analyze, create, and monitor key performance, risk, and control indicators to support management and board-level reporting across business units Identify, develop, and implement tools or methods to track and monitor financial risk Track and communicate identified audit and exam issues as well as business area self-identified issues and findings to other Corporate Risk Management teams Understand OCC plans for mitigation of default and non-default losses, and assist in planning and testing of the tools that may be used

during those loss events Understand OCC quantitative and qualitative reporting and assist in reviewing data to make sure it is accurate and consistent Assist with developing and maintaining department-level policies, procedures, job aids, and controls Support management with special projects and other duties assigned 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.

[Required] Basic understanding of securities/derivatives markets and risk management [Required] Ability to think creatively and present ideas clearly [Required] Strong attention to detail and problem-solving skills [Required] Experience in designing and producing quality reports and presentations [Required] Strong interpersonal skills, including excellent written and oral communication skills [Required] Ability to interact and collaborate with all levels of the organization and across a multitude of departments [Required] Ability to manage tasks/projects and deadlines, as well as the ability

to adapt to shifting priorities [Required] Ability to build broad-based business relationships across the organization [Required] Ability to work in a highly regulated environment, including with the SEC, CFTC, and Federal Reserve [Preferred] Strong analytical skills including data analytics and reporting Technical Skills & Background [Required] Proficient in Microsoft Excel, Word, and PowerPoint [Preferred] Experience with Tableau Certifications N/A Education & Training [Required] Bachelors degree in Risk, Finance, Economics, Engineering or equivalent [Preferred] 1+ years of

financial services, risk management, compliance, and/or audit experience About Us The Options Clearing Corporation (OCC) is the world's largest equity derivatives clearing organization. Founded in 1973, OCC is dedicated to promoting stability and market integrity by delivering clearing and settlement services for options, futures and securities lending transactions. As a Systemically Important Financial Market Utility (SIFMU), OCC operates under the jurisdiction of the U.S. Securities and Exchange Commission (SEC), the U.S.

Commodity Futures Trading Commission (CFTC), and the Board of Governors of the Federal Reserve System. OCC has more than 100 clearing members and provides central counterparty (CCP) clearing and settlement services to 23 exchanges and trading platforms. More information about OCC is available at www.theocc.com. Benefits 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 401k Employer Match Competitive health benefits including medical, dental and vision Visit https://www.theocc.com/careers/thriving-together for more information.

Compensation The salary range listed for any given position is exclusive of fringe benefits and potential bonuses. If hired at OCC, your final base salary compensation will be determined by factors such as skills, experience and/or education. In addition, we believe in the importance of pay equity and consider internal equity of our current team members as part of any final offer. We typically do not hire at the maximum of the range in order to allow for future and continued salary growth.

We also offer a substantial benefits package as noted on www.theocc.com/careers All employees may be eligible for a discretionary bonus. Discretionary bonuses are based on various factors, including, but not limited to, company and individual performance and are not guaranteed. Salary Range $56,300.00 - $85,200.00 Incentive Range 6% to 10% This position is eligible for an annual discretionary incentive compensation award, for which the target range is listed above (see Incentive Range).

The amount of such award, if any, will be based on various factors, including without limitation, both individual and company performance. 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. For more information about OCC, please click here.

OCC is an Equal Opportunity Employer Protect yourself from recruitment scams Employers are seeing an increase in activity involving individuals falsely claiming to represent our company. These scams often include fake job offers, interviews or requests for financial and personal information. We take these matters seriously and want to ensure you stay informed and protected throughout your job search. Please keep the following in mind: OCC will never ask for payment or request personal banking information at any stage of the recruitment or career process.

All official recruitment communications will come from a verified OCC email address ending in @theocc.com or the specific e-mail address of theocc@myworkday.com. Be cautious of messages from personal or non-company email addresses. Do not engage with or respond to suspicious emails or messages. If you are unsure about the legitimacy of a communication, verify the sender's email address and contact us directly. Hover over the sender's email address and confirm it ends with @theocc.com or myworkday.com and be alert for misspellings or added words.

If you receive a suspicious email, text or phone call using OCC's name, please forward it to talentacquisition@theocc.com. Interviews OCC does not utilize video chat rooms (that is, Google Hangouts) to conduct interviews. OCC will only use our approved Zoom video interview platform. Your vigilance helps protect you and supports the integrity of our hiring process. Recognizing fraudulent communications Phishing emails often: Do not address you by name. Create a sense of urgency to prompt quick action. Contain links that lead to suspicious websites or malicious attachments.

Include grammatical or spelling errors. 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 OCC is an Equal Opportunity Employer OCC is an equal opportunity employer that is committed to diversity, equity, and inclusion.

OCC provides equal employment opportunities to all employees and applicants for employment without regard to race, color, national origin, citizenship status, sex, sexual orientation, gender identity or expression, disability, age, marital status, religion, veteran status, or any other characteristics protected by applicable federal, state, or local laws. Numerous studies have shown that people from certain groups are less likely than others to apply to jobs if they believe they do not meet 100% of the requirements.

We encourage everyone to review our open positions and apply if you think your experience may be a match, even if you do not meet all of the qualifications. Your perspective may be an element we need to continue building innovative solutions to support the markets and market participants we serve. If you need a disability related accommodation for any part of the application process, please email talentacquisition@theocc.com. The Options Clearing Corporation (OCC) is the world's largest equity derivatives clearing organization.

Founded in 1973, OCC is dedicated to promoting stability and market integrity by delivering clearing and settlement services for options, futures and securities lending transactions. As a Systemically Important Financial Market Utility (SIFMU), OCC operates under the jurisdiction of the U.S. Securities and Exchange Commission (SEC), the U.S. Commodity Futures Trading Commission (CFTC), and the Board of Governors of the Federal Reserve System. OCC has more than 100 clearing members and provides central counterparty (CCP) clearing and settlement services to 23 exchanges and trading platforms.

More information about OCC is available at www.theocc.com. 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 401k Employer Match Competitive health benefits including medical, dental and vision Visit https://www.theocc.com/careers/thriving-together for more information. The salary range listed for any given position is exclusive of fringe benefits and potential bonuses.

If hired at OCC, your final base salary compensation will be determined by factors such as skills, experience and/or education. In addition, we believe in the importance of pay equity and consider internal equity of our current team members as part of any final offer. We typically do not hire at the maximum of the range in order to allow for future and continued salary growth. We also offer a substantial benefits package as noted on www.theocc.com/careers All employees may be eligible for a discretionary bonus.

Discretionary bonuses are based on various factors, including, but not limited to, company and individual performance and are not guaranteed.