Associate Principal, Regulatory Compliance
Core
Drive and support the Compliance Department's mission to ensure OCC's business units demonstrate compliance with regulatory obligations and industry best practices within a highly regulated environment.
Role type
Associate Principal, Regulatory Compliance (IT & Security focus)
Builds
Compliance strategies, policies, procedures, controls, and risk mitigation frameworks for IT and Security Services
Domain
Financial Services / Regulatory Compliance / IT Security
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Securities and commodities rules knowledge, risk and control frameworks, process improvement frameworks, financial industry knowledge, policy and procedure management, risk assessment, findings management, strategic thinking
Preferred skills
Integrated risk management systems (RSA Archer), document management tools, reporting tools, NAVEX Global, PolicyTech, Cloud Computing Models and Risks
Technologies
MS Office, RSA Archer, AWS, NIST CSF, NIST 800-53, COBIT, ISO 27001, ISO 9001, CMMI, SDLC agile process, Secure Software Development Lifecycle
Responsibilities
Identify and establish processes, controls, and tools for regulatory advisory services; Provide guidance to business units on regulatory compliance and remediation plans; Assist in developing compliance programs including risk identification and mitigation; Interact with IT and Security Services to develop compliance processes and controls; Assist in writing annual compliance reports and preparing for regulatory exams; Perform reviews of the legal framework and update policies to evidence compliance
Seniority
Senior, hands-on IC
