Associate Principal, Regulatory Compliance

\***_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 Compliance Department is organized into several functional areas, with each having a distinct role in carrying out the department’s mission in a highly regulated environment. This role will support and drive a team ensuring OCC’s business units demonstrate compliance with regulatory obligations.

This role is highly focused on review of the organization’s compliance with applicable regulatory and legal rules and requirements (i.e., SEC CCA, CFTC DCO, Federal Reserve, etc.) and adoption of industry best practices/frameworks (i.e., NIST CSF, NIST 800-53, COBIT, ISO, Cloud Security, etc.).

Primary responsibilities include supporting and driving the team in maintaining OCC’s legal framework, monitoring changes to internal processes that may impact the organization's regulatory compliance posture, advising business units on regulatory compliance matters, including examinations and audits, advising business units on remediating regulatory and audit findings, and reviewing company policies, procedures, and controls.

This role will be responsible for identifying, recommending, supporting and driving enhancements to the performance, integrity, and compliance of the organization’s processes. This role will drive and support the continued development and implementation of the compliance programs which includes: developing and driving compliance strategies, process (also policy and procedure) and control development, risk identification and mitigation, and supporting regulatory exams.

This role will regularly interact with OCC’s Information Technology (IT) and Security Services departments and will support the continued development and implementation of the IT and Security Services Compliance program, including the development of processes (policies, standards, and procedures) and controls. Primary Duties and Responsibilities: To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.

Support and drive a team that will identify and establish processes (including policies and procedures), controls and tools required to provide regulatory advisory services for the business units Support and drive efforts to provide regulatory advisory services concerning financial risk management (including credit risk, liquidity risk, model risk, stress testing, default management, etc.), clearing and settlement, enterprise risk management (including operational risk, third party risk management, etc.), corporate finance (including accounting, finance, treasury, etc.) and other general

business practices Provide guidance to first line of defense (business units) related to effective demonstration of compliance with regulatory obligations covering their areas Provide guidance to the business on the development and implementation of effective remediation plans to address internal or external findings Assist the organization with the identification, understanding, and development of processes, policies, procedures, and controls that effectively demonstrate compliance with regulatory obligations, focused within IT and Security.

Assist the compliance monitoring program in support of providing frequent and highly professional reports to the CCO, executive management, and the Board of Directors Assist the organization in evaluating new products, key business initiatives, significant technology, and systems to ensure compliance with policy, laws, and regulations Interact and communicate in a highly effective, professional, and insightful manner with business colleagues within the company and third parties such as external auditors and regulators Exhibit and foster a strong compliance culture across all staff members

Exhibit and foster strong collaboration across OCC’s control functions (i.e., internal audit, enterprise risk management, compliance, model validation) Assist in the writing of the annual compliance report, as well as other ad hoc and regularly occurring reports Keep abreast of changes in regulatory environment and industry best practices/frameworks (i.e., NIST CSF, NIST 800-53, COBIT, ISO, Cloud Security, etc.), and leverage them to drive compliance related continuous improvements for IT and Security Services Perform reviews of OCC’s legal framework, including updating referenced policies,

procedures, and controls that evidence compliance with regulatory obligation Ability to independently produce and deliver education on regulatory compliance topics Assist with remediating regulatory and Internal Audit findings, including collecting data to identify root cause of problems, identifying trends, and formulating solutions Assist with collection of documents and other preparation as part of the exam management process Perform ad-hoc duties for Compliance management as necessary; including assessment of compliance risks and support for regulatory and compliance reporting

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] Strong working knowledge of securities and commodities rules and regulations. (i.e., SEC, CFTC, etc.) [Required] Strong working knowledge of compliance related best practices [Required] Experience in risk and control frameworks, and process improvement frameworks, including Cloud environments (e.g.

COBIT, COSO, ITIL, NIST, CSF, NIST 800-53, ISO 27001, ISO 9001, CMMI) | [Required] Working knowledge of the financial industry[Required] Excellent organizational, written, and oral communication skills [Required] Comprehensive analytical, conceptual and problem-solving skills [Required] Ability to support policy and procedure management, process and control management, testing, monitoring, risk assessment, and findings management [Required] Ability to manage and prioritize assignments and respond to rapidly shifting priorities [Required] Ability to work independently and as a member of a

team, collaborating with internal business clients at various levels of seniority [Required] Must be able to work under deadlines and manage multiple tasks [Required] Strategic thinker, with strong conceptual and problem-solving skills [Required] Familiarity with Systems Development Life Cycle (SDLC) agile process and Secure Software Development Lifecycle Technical Skills: [Required] Proficiency with MS Office software [Preferred] Experience using an integrated risk management system (such as RSA Archer), Document Management tools, and reporting tools [Preferred] Experience using an

integrated risk management system (such as RSA Archer) [Preferred] Experience using NAVEX Global and PolicyTech [Preferred] Proficiency with Cloud Computing Models, Risks and Cloud Control Environment.

(AWS etc.) Education and/or Experience: [Required] Bachelor's Degree in Accounting, Business, Economics, Finance, other business and finance-related discipline or Information Systems, Computer Science or related discipline [Required] 5+ years of experience in IT/Security Compliance, IT/Security Risk Management, IT/Security Audit, IT, Information Security, or related field required [Preferred] Familiarity with the Securities Exchange Act of 1934 and the Commodity Exchange Act Certificates or Licenses: [Preferred] CIA, CISA, CISSP, CRISC, CGEIT, ITIL, etc.

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 19 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 $97,300.00 - $136,600.00 Incentive Range 8% to 15% 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 19 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.

• Bachelor's degree in business, finance, information systems, or related field with 5+ years in IT/Security Compliance or related area
• Strong knowledge of securities/commodities regulations (SEC, CFTC) and compliance best practices
• Experience with risk/control frameworks (COBIT, NIST, ISO) and proficiency in MS Office