Apply in 3 Minutes: Senior Manager, Compliance

Overview Intercontinental Exchange, Inc. (ICE) is looking for a Senior Compliance Manager for certain of its regulated businesses located in its London Office. This position will support several of ICE’s affiliated FCA authorised and regulated Firms, Creditex Brokerage LLP, ICE Markets Limited and ICE Data Desktop Solutions Limited. This position will assist with the implementation and monitoring of the FCA Firms’ compliance program requirements (including the ICE corporate compliance program). The role reports to the General Counsel, Credit & Processing Businesses.
Location: London, United Kingdom.

Responsibilities Develop and administer key policies and procedures related to the FCA Firms’ compliance programs, coordinating input from relevant stakeholders (e.g., compliance and legal resources) as needed.
Develop and implement guidance and training to ensure employee understanding and compliance in coordination with corporate training programs.
Coordinate control development, oversight, relevant policies and procedures, and perform surveillance on key products and services in connection to the firm’s requirements.
Manage the compliance programs, including facilitating local risk assessments and compliance reviews, preparing and presenting compliance reporting, establishing and implementing compliance and surveillance processes, testing, and consulting with firm personnel where appropriate.
Assist in customer onboarding, including the performance of customer due diligence and ongoing monitoring of customers in accordance with the firm’s policies and procedures and applicable regulatory requirements.
Assist with employee registration with relevant regulator(s).
Supervise activities of employees to ensure that firm policies, corporate policies and regulator rules are being adhered to.
Assess proposed new lines of business/offerings to determine applicable regulatory and registration requirements and develop corresponding policies and procedures in coordination with relevant stakeholders (e.g., compliance, legal and business resources) as needed.
Identify and review new regulations and present supervisory strategies.
Participate in and/or lead certain compliance governance and oversight meetings and committees, effectively communicating and engaging business stakeholders on findings, issues, and remediation requirements.
Assist in risk assessments and review and lead the report preparation.
Participate in the preparation and filing of regulatory forms/reports, as applicable.
Assist in the preparation of written responses to regulatory inquiries.
Assist in the audit/risk assessment of the firm’s compliance with its internal policies and procedures; and
Analyze and document areas of operational or regulatory concern, gather relevant information, and communicate findings to other departments.
Knowledge and Experience Bachelor’s degree or higher; extensive experience with a financial services or technology firm in an operations, risk or compliance position.
Law degree preferred but not required.
Strong knowledge and experience with securities, investment products, pricing, and transactions with emphasis on fixed income.
Previous experience at an FCA member firm.
Knowledge of FCA Rules and Guidance and relevant UK financial legislation.
Knowledge of UK Money Laundering Regulations.
Ability to make independent judgments on key issues and accurately identify risks.
Strong analytical and organizational skills with acute attention to detail.
Excellent verbal and written communication skills.
Results-oriented and self-motivated; ability to work effectively in a fast-paced, sometimes stressful environment.
Job Details Seniority level: Not Applicable
Employment type: Full-time
Job function: Legal
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