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 Principal, Regulatory Policy supports and works alongside the Principal of Regulatory Policy and reports to the Executive Director, Head of Government Relations. This contributor helps support designated workstreams within OCC’s Regulatory Policy function, including: monitoring and analyzing domestic and international regulatory developments that may impact OCC, OCC’s clearing members, and the U.S. listed options industry; contributing to OCC’s regulatory advocacy strategy and engagement with regulators and standard-setting bodies; coordinating with the Legal Department, stakeholders, and SMEs on regulatory submissions; and supporting senior leadership for regulatory engagements.
Primary Duties and Responsibilities:
To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.
Support the monitoring, analysis, and tracking of domestic and international regulatory policy developments, including rulemakings, guidance, consultations, open meetings, advisory committee sessions, and other proceedings of the SEC, CFTC, Federal Reserve, CPMI-IOSCO, the Basel Committee, the Financial Stability Board (FSB), ESMA, the Bank of England (BOE), and other regulatory and standard-setting bodies. Produce time-sensitive analyses, briefings, and reports for OCC leadership covering the impact of those developments.
Support and partner with the Principal of Regulatory Policy and the Head of Government Relations in shaping and executing OCC’s regulatory advocacy strategy. As directed, lead designated regulatory workstreams end to end, including identifying OCC’s engagement opportunities, supporting development of OCC’s positioning and messaging on key regulatory priorities, and supporting escalation of complex or high-priority issues to senior leadership.
Support the research, development and submission of OCC comment letters and other regulatory filings in close partnership with the Legal Department, the relevant business units, and other internal stakeholders. Manage comment-letter deadlines, coordinate cross-functional inputs, drive drafting timelines and review cycles, and ensure submissions reflect a unified and well-substantiated OCC position.
Support the preparation of background memos, briefing books, talking points, and presentations to support OCC senior leaders in advance of meetings, hearings, public consultations, and other engagements with regulators, standard-setting bodies, and industry groups.
Support the management of incoming regulatory information requests from regulators, government organizations, industry partners, and other external stakeholders. Coordinate with departments across OCC, including Legal, Compliance, Risk, Financial Risk Management, and relevant business units, to gather responsive information and draft responses for senior leadership approval.
Maintain an internal regulatory calendar and tracker capturing pending rulemakings, comment-letter deadlines, regulatory engagements, and key industry milestones, providing regular status updates and recommendations to senior leadership.
Collaborate broadly across the Government Relations department and other OCC functions, contributing to departmental priorities, supporting colleagues on cross-cutting initiatives, and flexing across responsibilities as the needs of the department evolve. Contribute to internal newsletters and other communications relating to regulatory policy.
Serve as point person on special regulatory projects as directed by the Principal of Regulatory Policy or the Executive Director, Head of Government Relations.
Some domestic and international travel may be required (~10%), which may include weekends and evenings.
Supervisory Responsibilities:
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.
Working knowledge of the U.S. and international regulatory frameworks applicable to clearing organizations, securities markets, derivatives markets, and securities lending is strongly preferred. General familiarity with the clearing and settlement and risk management functions of a clearing organization is welcome.
Strong analytical, organizational, written, and verbal communication skills required, including the ability to communicate complex and technical regulatory issues to diverse audiences in a clear, authoritative, and actionable manner.
Demonstrated ability to collaborate effectively across departments and to flex across responsibilities as departmental needs evolve. Must cultivate strong working relationships with a broad range of internal and external stakeholders, including senior leadership, regulators, and industry counterparts.
Must exercise good judgment, use discretion, and work effectively under pressure in a self-directed manner within a collaborative, team-oriented environment. Must demonstrate the ability to lead and manage multiple complex projects simultaneously in a deadline-oriented environment, with the capacity to operate independently on substantive regulatory matters.
Technical Skills:
Proficient in Microsoft Office, including Word, Excel, and PowerPoint. Experience with regulatory tracking platforms (e.g., Bloomberg Government) is a plus.
Education and/or Experience:
Bachelor’s degree required; majoring in political science, public policy, finance, economics, communications, or business is welcome.
Three to five or more years (3–5+) of experience required. Prior experience in financial services regulatory policy, at a regulatory agency (e.g., SEC, CFTC, Federal Reserve), at a financial industry trade association, or at a regulated financial institution is especially desirable.
Certificates or Licenses:
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
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Tuition Reimbursement to support your continued education
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Student Loan Repayment Assistance
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Technology Stipend allowing you to use the device of your choice to connect to our network while working remotely
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Generous PTO and Parental leave
- 401k Employer Match
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Competitive health benefits including medical, dental and vision
Visit https://www.theocc.com/careers/thriving-together for more information.
Compensation
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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
$112,500.00 - $160,900.00
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
