Principal, Information Governance

What You'll Do:

The Principal, Information Governance (reporting to the Director, Information Governance) is responsible for supporting the development and implementation of OCC's information governance program. This includes supporting the development of strategies, policies, procedures, and controls related to the governance and protection of information throughout its lifecycle. In addition, the role will develop strategies for data classification with impact across the organization; will facilitate compliance with the identified requirements to control risk; will represent the program to internal and external stakeholders; and will support the development and implementation of information awareness programs. This role will focus on compliance with applicable regulatory and legal rules and requirements (i.e. SEC-Regulation SCI, CFTC-System Safeguards, etc.) as they relate to information including support of regulatory exam and Internal Audit remediation planning, tracking, and mitigation.

Primary Duties and Responsibilities:

To perform this job successfully, an individual must be able to perform each primary duty satisfactorily

• Work with appropriate stakeholders and across the organization to create a culture that manages information as an enterprise asset

• Implementation of information governance, including the development of policies, procedures, and job aids

• Identification, implementation, and use of technologies to support program objectives and classification standards

• Execution of controls and risk assessments

• Data classification implementation and organizational impact planning and execution

• Creation and execution of strategies to identify information across the organization and throughout its lifecycle

• Preparation of program for regulatory and internal audits/examinations and timely remediation of any findings

• Use of technology/tools to track projects, manage deliverables and create reporting that support the program and its objectives

• Support of compliance assessments for information governance, including development of controls to measure risk

• Development and maintenance of the organization's Records Management System (RMS) program, ensuring information across all media and formats is properly retained and disposed including remediation of legacy information

• Ensure retention and classification are addressed in new applications, platforms, and systems

• Ensure non-functional Information Governance requirements are identified and work with business owners to meet requirements

• Collaborate with OCC internal and external stakeholders to implement OCC information governance requirements

• Support and develop training and awareness programs for information governance

• Identify trends in regulatory requirements, compliance enforcement, and actions related to information and create and execute the necessary changes in the program

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.

• Strong interest in understanding and solving data challenges with experience in information governance and data

• Knowledge of and work experience with enterprise systems, networks, databases, and other technical domains

• Strong attention to detail, customer orientation, communication, and presentation skills including the ability to listen and quickly translate business needs into solutions and build effective working relationships

• Experience with data classification strategies and implementation including standard definitions and settings

• Experience with personal information and its protection

• Strong strategic thinking, problem solving, and analytic skills

• Utilize metrics as means to improve performance

• Ability to adapt to change in emerging environments and work across multiple areas

• Experience in developing and writing policies, procedures and controls

• Experience in project management, project execution, and managing multiple priorities in a timeline driven environment

• Experience working in a highly regulated environment including an understanding of audit and compliance requirements

• Understanding of and strong interest in technologies, their selection and implementation

• Experience in Information Security related policy, procedure and control writing

• General understanding of information technology and risk management concepts

• Ability to work independently and as a member of a team, proficient in collaborating with internal business clients from different departments and at various levels of seniority

• Proficient in gathering, analyzing, and evaluating facts and preparing/presenting concise oral and written data analysis and reports

• Excellent organizational, written, and oral communication skills

Technical Skills:

• Office 365 (Word, Excel, PowerPoint)

• Experience with systems supporting Data Classification, Compliance, Records Management, Risk, Audit, Privacy, and Management such as ServiceNow, Archer, etc.

• Project / Program Management

• Business Intelligence tool experience

Education and/or Experience:

• Bachelor's degree or higher in information management, data, information systems, law, computer science or BA/BS in another discipline with equivalent experience

• 10 or more years of applicable work experience

• Previous work with information or data governance control activities in the financial services industry.

• Experience in the financial services

Certificates or Licenses:

• Certifications in Information, Data, Records Management or Security such as: Information Governance Professional (IGP), Certified Records Manager (CRM), Certified Information Systems Auditor (CISA), Certified Information Systems Security Professional (CISSP), Certified Information Security Manager (CISM) Certified Information Privacy Professional (CIPP), Certified Information Privacy Management (CIPM), Certified Information Privacy Technologist (CIPT)

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

Incentive Range

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 andattach 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