Who We Are

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.

What We Offer

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

Summary

The Associate Principal, Information Governance and Privacy (reporting to the Privacy and Data Protection Officer) is responsible for supporting the development and implementation of OCC’s information governance, data protection, and privacy 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 work with stakeholders to define the information governance, data protection, and privacy requirements for external organizations with whom OCC has a business need to share information; 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 training and 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 the information governance, data protection, and privacy program 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 (e.g., third-party risk, privacy, data protection)
• Responsible in performing the privacy impact assessment on data incidents and working with relevant stakeholders like Security Services and Legal to help closing the incident.
• 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, data protection, and privacy 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, disposition, protection, and classification are addressed in new applications, platforms, and systems
• Collaborate with OCC internal and external stakeholders to implement OCC information governance, data protection, and privacy policies and requirements 
• Support and develop training and awareness programs for information governance, data protection, and privacy.
• Identify trends in privacy and regulatory requirements, compliance enforcement, and action the necessary changes in the program

Supervisory Responsibilities:

·None

Qualifications:

The requirements listed are representative of the knowledge, skill, and