- Support the team on delivery of assigned audits within the annual audit plan.
- Support the team confirming a professional auditee experience.
- Owning the audit quality, accuracy of results, and delivery in a timely manner.
- Proactively identify regulatory, operational, and/or strategic risks to the organization and bring them to your engagement team.
- Evaluate exceptions or inefficient practices for root causes and propose advice and recommendations for achievable solutions.
- Leading audits related to organization changes including business requirements definitions, technology implementations (e.g., changes to the supported business processes), engagement and alignment of change initiatives to business objectives.
- Maintaining an understanding of policies, procedures, standards, and supporting technologies, and educating staff accordingly, to effectively identify potential risks and alternatives to mitigate risk exposure leveraging leading practices.
- Ability to understand professional principles and standards (e.g., AICPA, IIA IPPF, COSO) and the relevancy to risk management and impact on policies and procedures. In addition, leveraging these principles and standards to test and evaluate corporate risk management processes and controls.
- Keeping current on best practices and emerging risks within the financial services industry and making recommendations for improvements as necessary.
- Supporting effective relationships with business groups and leadership and partnering with management.
- Ability to communicate clearly and effectively, both orally and in writing, including the ability to handle potentially sensitive situations and discussions.
- Strong problem solving and analytical capabilities.
- Demonstrated ability to gather, analyze, and evaluate facts, and prepare and present concise oral and written reports.
- Ability to work independently or as part of a team, prioritizing multiple audit assignments to simultaneously complete each in a timely fashion.
- Experience working in a complex, fast paced environment.
- Experience using the principles, practices, and techniques involved in conducting audits in accordance with the requirements set forth in the International Standards for the Professional Practice of Internal Auditing published by the Institute of Internal Auditors (IIA).
- [Preferred] Consulting and/or accounting firm experience.
- [Preferred] Experience in Financial Services/Security Industry and working with regulatory organizations such as: Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), Federal Reserve.
- [Required] Microsoft Office applications
- [Preferred] Proficiency using Archer or other audit or Governance Risk and Compliance (GRC) software
- Bachelor's degree (or equivalent) in Accounting, Finance, Business Administration, or related field
- 5+ years of experience (audit-related) in conducting risk-based operational and compliance audits and projects, business process reviews and internal audits
- [Preferred] one of the following or equivalent certifications: Certified Financial Services Auditor (CFSA), Certification in Risk Management Assurance (CRMA), Certified Internal Auditor (CIA), Certified Public Accountant (CPA)
- 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
-
Principal Business Value Consultant
3 weeks ago
Palo Alto Networks Chicago, United States**Company Description** Our Mission** · At Palo Alto Networks everything starts and ends with our mission: · Being the cybersecurity partner of choice, protecting our digital way of life. · Our vision is a world where each day is safer and more secure than the one before. We are ...
-
Program Principal- Business
3 weeks ago
TEKsystems Chicago, IL, United StatesAs an organization, Global Services provides a continuum of services ranging from Engagement Management to full functional Outsourcing including Offshore Centers in Canada and India. Our model provides the ability to engage customers beyond staffing when asked for more ownership, ...
-
Principal Business Advisor
3 weeks ago
Hitachi Chicago, IL, United States Full timeCompany DescriptionHitachi Solutions is a global Microsoft solutions integrator passionate about developing and delivering industry-focused solutions that support our clients to deliver on their business transformation goals. Our industry focus, expertise, and intellectual proper ...
-
Principal Business Advisor
1 week ago
Hitachi Solutions Chicago, United States Full timeJob Description · Job DescriptionCompany Description · Hitachi Solutions is a global Microsoft solutions integrator passionate about developing and delivering industry-focused solutions that support our clients to deliver on their business transformation goals. Our industry focus ...
-
Associate Principal, Business
1 day ago
The Options Clearing Corporation Chicago, United StatesWhat You'll Do: · This role will support independent assessments of OCC's financial and operational business processes, risk management, and other objectives as needed. The role is responsible for determining the sufficiency of management's controls and activities related to the ...
-
Principal Business Analyst
4 weeks ago
United Airlines Chicago, United States· There's never been a more exciting time to join United Airlines. We're on a path towards becoming the best airline in the history of aviation. Our shared purpose – Connecting People, Uniting the World – is about more than getting people from one place to another. It also means ...
-
Associate Principal, Business
1 week ago
Blackwomenintech Chicago, United StatesWhat You'll Do: · This role will support independent assessments of OCC's financial and operational business processes, risk management, and other objectives as needed. The role is responsible for determining the sufficiency of management's controls and activities related to the ...
-
Associate Principal, Business
3 days ago
The Options Clearing Corporation Chicago, United States Regular, Full timeWhat You'll Do: · This role will support independent assessments of OCC's financial and operational business processes, risk management, and other objectives as needed. The role is responsible for determining the sufficiency of management's controls and activities related to the ...
-
Principal Business Strategy
1 week ago
Discover Financial Services Riverwoods, United StatesDiscover. A brighter future. · With us, you'll do meaningful work from Day 1. Our collaborative culture is built on three core behaviors: We Play to Win, We Get Better Every Day & We Succeed Together. And we mean it — we want you to grow and make a difference at one of the world' ...
-
Principal Business Data Steward
3 weeks ago
Discover Chicago, United StatesWe are establishing a new Data Stewardship capability within Discover Enterprise Marketings Media Center of Excellence to further strengthen our capabilities in marketing campaign management, our processes, and utilization of data in media go-to-mar Marketing, Steward, Business, ...
-
Principal People Business Partner
3 weeks ago
Meltwater Chicago, United StatesLocation: Chicago, IL, United States · Date Posted: · Mar 21, 2024 · Category: Human Resources · We are seeking a skilled and strategic Principal People Business Partner (Principal HRBP) to join our global People Business Partner organization, focusing on the USA and Canada regi ...
-
Principal Business Value Consultant
1 week ago
Palo Alto Networks Inc. Chicago, United StatesCompany Description · Our Mission · At Palo Alto Networks everything starts and ends with our mission: · Being the cybersecurity partner of choice, protecting our digital way of life. · Our vision is a world where each day is safer and more secure than the one before. We are a co ...
-
Principal Business Value Consultant
2 weeks ago
Palo Alto Networks, Inc. Chicago, IL, United StatesAt Palo Alto Networks everything starts and ends with our mission: · Being the cybersecurity partner of choice, protecting our digital way of life. · We are a company built on the foundation of challenging and disrupting the way things are done, and we're looking for innovators ...
-
Principal Business Value Consultant
2 weeks ago
Palo Alto Networks, Inc. Chicago, IL, United StatesOur Mission · At Palo Alto Networks everything starts and ends with our mission: · Being the cybersecurity partner of choice, protecting our digital way of life. · Our vision is a world where each day is safer and more secure than the one before. We are a company built on the ...
-
Principal Business Value Consultant
3 weeks ago
Palo Alto Networks Chicago, IL, United StatesPalo Alto Networks · Implement Zero Trust, Secure your Network, Cloud workloads, Hybrid Workforce, Leverage Threat Intelligence & Security Consulting. Cybersecurity Services & Education for CISO's, Head of Infrastructure, Network Security Engineers, Cloud... View company page ...
-
Principal Business Risk Specialist
3 days ago
Discover Financial Services Riverwoods, United StatesDiscover. A brighter future. · With us, you'll do meaningful work from Day 1. Our collaborative culture is built on three core behaviors: We Play to Win, We Get Better Every Day & We Succeed Together. And we mean it — we want you to grow and make a difference at one of the world' ...
-
Principal Business Data Steward
5 days ago
Discover Financial Services Riverwoods, United StatesDiscover. A brighter future. · With us, you'll do meaningful work from Day 1. Our collaborative culture is built on three core behaviors: We Play to Win, We Get Better Every Day & We Succeed Together. And we mean it — we want you to grow and make a difference at one of the world' ...
-
Associate Principal, Internal Audit Business
1 week ago
The Options Clearing Corporation Chicago, United StatesAssociate Principal, Internal Audit Business & Risk page is loaded · Associate Principal, Internal Audit Business & Risk · Apply · locations · Chicago - 125 S Franklin · time type · Full time · posted on · Posted Yesterday · job requisition id · REQ-3417 · What You'll ...
-
Business Title Principal-sols Architect
2 weeks ago
Verizon Rolling Meadows, United States**When you join Verizon**: · Verizon is one of the world's leading providers of technology and communications services, transforming the way we connect around the world. We're a human network that reaches across the globe and works behind the scenes. We anticipate, lead, and beli ...
-
Principal Business Risk Strategy, Planning and
2 weeks ago
Discover Financial Services Riverwoods, United StatesDiscover. A brighter future. · With us, you'll do meaningful work from Day 1. Our collaborative culture is built on three core behaviors: We Play to Win, We Get Better Every Day & We Succeed Together. And we mean it — we want you to grow and make a difference at one of the world' ...
Associate Principal, Business - Chicago, United States - OCC
Description
What You'll Do:
This role will support independent assessments of OCC's financial and operational business processes, risk management, and other objectives as needed. The role is responsible for determining the sufficiency of management's controls and activities related to the management of regulatory, operational, and strategic risks and presenting recommendations for improvements to the engagement team.
Primary Duties and Responsibilities:
To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.
Responsibilities will be aligned, but not limited, to three pillars:
Delivery
Quality
Leadership
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.
Qualifications & Experience will be required, but not limited, to:
Qualifications
Experience
Technical Skills:
Education and/or Experience:
Certificates or Licenses:
Who We Are
The Options Clearing Corporation (OCC) is the largest equity derivatives organization in the world. We provide central counterparty clearing and settlement services for equity options, futures, options on futures, and securities lending transactions. We serve approximately 115 clearing members and 15 exchanges including CBOE, Nasdaq, and NYSE.
What We Offer
We offer a highly collaborative and supportive environment developed to encourage work-life balance and employee wellness. Some of these components include:
Step 1