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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.
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Focus on financial organizations that address SEC, CFTC, FINRA, NFA OCC and other regulatory requirements for retail and institutional broker dealer compliance, capital markets, banking, swap dealer trading, investment management, and investment advisor compliance.
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Comfort with cloud agnostic technology like Kubernetes, Docker, Rancher, Openshift, Redis, and Kafka. Preferred) Working knowledge of DevOps tools, Terraform, Ansible, Jenkins, Kubernetes, Helm. E likeg Terraform, Ansible, Jenkins, Kubernetes, Helm and CI/CD pipeline etc.is desirable.
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Provide subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to anti-money laundering, outside brokerage accounts, outside business activities, OSJ/branch inspections, firm element CE, email surveillance, information barriers, restricted/watch lists, institutional research, investment banking, and institutional sales.
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Regulatory/utility/FERC/SEC reporting or energy industry experience. We are a Fortune 200 company, 19,000 colleagues strong serving more than 10 million customers at six energy companiesAtlantic City Electric (ACE), Baltimore Gas and Electric (BGE), Commonwealth Edison (ComEd), Delmarva Power & Light (DPL), PECO Energy Company (PECO), and Potomac Electric Power Company (Pepco.
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Experience with high-speed distributed computing frameworks Apache Flink, AWS EMR, Hadoop, HDFS, MapReduce, Apache Spark, Kafka Streams. Java (8/11/17), Cloud (AWS), Apache Flink, Kafka, Jenkins, Harness, Maven/Gradle.
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Experience with regulatory organizations (e.g., SEC, CFTC, FINRA, Federal Reserve). Certified Financial Services Auditor (CFSA), Certification in Risk Management Assurance (CRMA), Certified Internal Auditor (CIA), or Certified Public Accountant (CPA.
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Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges. Experience with the following services: Cisco Call Manager Systems, Red Box/Orex/Voxsmart, Cloud9 Voice Services, telephone lines (AT&T), Private Wires (IPC & Flexnet), VOIP Services, Verizon Mobile Services, Microsoft Teams Voice, Chat Platforms and surveillance tooling.
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Current knowledge in US GAAP, GAAS, IFRS, SEC Reporting, transaction advisory services or mergers and acquisitionsExperience with the valuation of debt and equity structures; including experience with complex structures with preferred, common, convertible, and contingent securities is a plus.
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Atlantic City Electric (ACE), Baltimore Gas and Electric (BGE), Commonwealth Edison (ComEd), Delmarva Power & Light (DPL), PECO Energy Company (PECO), and Potomac Electric Power Company (Pepco). Demonstrated technical knowledge and understanding of Accounting theory, principles, practices and regulations including FASB/GAAP and SOX compliance.
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Collaborate with internal stakeholders across different departments, such as strategic sourcing, IT, third-party risk management, and security, to address legal matters affecting the business. Required] Juris Doctor or equivalent degree from a law school accredited by the American Bar Association.
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Other acceptable experience includes in-house legal counsel or law firm experience working with registered SEC or CFTC entities with significant exposure to compliance and strong analytical and quantitative skills.
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SEC Reporting Requirements: Forms 10-K, 10-Q, S-1, S-3, S-4. Our Chicago clients include US Foods, Kraft, Sara Lee, Mondelez International, Exelon, Arthur J. Gallagher, Career Education Corporation, Deutsche Bank, Hyatt Hotels Corporation, and a multitude of venture capital firms, hedge funds, and private equity firms.
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Proficiency in Microsoft Excel and financial reporting software; experience with Workiva or other SEC reporting tools. - Minimum of 8 years of experience in SEC reporting and technical accounting roles, preferably with a publicly traded company or public accounting firm, with at least 4 years in management roles.
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Experience working on a workflow tool like Alteryx, Power BI or scheduling automated jobs in Windows or Unix environment. 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.
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sec job Company: Robert Half in Chicago, East-hartford, Connecticut
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