Manager, Compliance

ICE; Greater London; On-site; GBP 76,000 - 109,000; Full time

Benefits offered by this job

Healthcare coverage

Job summary

Intercontinental Exchange seeks a Compliance Manager to help ensure ICE Clear Netherlands meets regulatory requirements and to design and execute a risk-based compliance programme. The role supports the Chief Compliance Officer, maintains policies, monitors controls, and provides guidance across ICE’s businesses.

The successful candidate will bring extensive regulatory experience, strong governance knowledge and excellent communication skills to oversee risk, training, and governance tasks for

Qualifications

• Bachelor’s or Master’s degree required.
• 7–10 years of relevant experience.
• Proven regulatory, compliance risk management and monitoring experience.
• Strong understanding of financial markets, financial services regulation and governance requirements.
• Excellent communication, organization and time management with attention to detail.
• Strong problem-solving abilities.

Responsibilities

• Participate in the enhancement of the annual Compliance Programme and delivery of the Compliance Monitoring and Testing Programme.
• Evaluate the efficiency of controls and processes and make improvement recommendations.
• Identify and assess possible compliance risks for new business and projects.
• Develop understanding of operations and the clearing & trading business.
• Execute corporate secretarial duties for the Board and sub-committees.
• Report to senior management and external regulatory bodies as appropriate.
• Support oversight of members within the Clearing Rules Framework (onboarding, monitoring, surveillance, investigations).
• Keep abreast of regulatory developments and develop compliance policies.
• Perform other regulatory tasks and support ICE and affiliates.

Skills

Regulatory compliance

Risk management

Monitoring experience

Communication skills

Attention to detail

Problem solving

Education

Bachelor’s or Master’s degree

Job description

Job Purpose

The Compliance Manager is responsible for assisting in ensuring that the clearing house of the Intercontinental Exchange Group (ICE) in the Netherlands meets its regulatory requirements. The Compliance Manager will support the Chief Compliance Officer in the design, development and execution of a risk-based Compliance Programme for ICE Clear Netherlands. This will involve participation in the identification of relevant regulations; maintenance of policies and procedures to prevent and detect gaps in compliance; monitoring processes and systems of control; aiding in the resolution of any gaps in compliance; facilitation of training; and providing advice to business.

Job Description

Job Purpose

The Compliance Manager is responsible for assisting in ensuring that the clearing house of the Intercontinental Exchange Group (ICE) in the Netherlands meets its regulatory requirements. The Compliance Manager will support the Chief Compliance Officer in the design, development and execution of a risk-based Compliance Programme for ICE Clear Netherlands. This will involve participation in the identification of relevant regulations; maintenance of policies and procedures to prevent and detect gaps in compliance; monitoring processes and systems of control; aiding in the resolution of any gaps in compliance; facilitation of training; and providing advice to business. The Compliance Manager will have an excellent working knowledge of financial regulations and corporate governance requirements, will be a professional of the highest standard and work diligently to complete their duties keeping in mind the objectives and core competences of ICE.

Responsibilities

• Participate in the enhancement of the annual Compliance Programme and delivery of the Compliance Monitoring and Testing Programme.
• Evaluate the efficiency of controls and processes and make recommendations for improvements.
• Participate in the identification and assessment of possible compliance risks for (new) business and projects.
• Develop a thorough understanding of operations and associated (clearing & trading) business.
• Execution of corporate secretarial duties for the Board and/or sub-committees.
• Reporting to senior management and external regulatory bodies (including regulatory requests and audits) as appropriate.
• Support the oversight of members within the (Clearing) Rules Framework (e.g. onboarding process, monitoring, surveillance, investigations).
• Keep abreast of regulatory developments and develop compliance policies.
• Other duties as required including various administrative, project management and regulatory tasks and supporting the ICE organisation and businesses (including relevant affiliates).

Knowledge And Experience

• Bachelor’s or Master’s degree
• 7-10 years of relevant experience
• Proven regulatory, compliance risk management and monitoring experience
• Good understanding of the financial markets, financial services regulation and corporate governance requirements
• Excellent communication, organization, and time management skills with appropriate attention to detail. Comfortable communicating with colleagues across all levels within the ICE Group
• Problem solving - proficient at identifying problems and working efficiently to resolve issues

Preferred

• Knowledge of clearing operations and regulation
• Strong team player
• Enthusiastic and hands-on approach
• Analytical and structured way of working

Netherlands Base Salary Range

The expected base salary for this role is between 89,000 - 127,000 EUR. The base salary range does not include Intercontinental Exchange’s incentive compensation. While we provide this range as general guidance, at ICE we compensate employees based on objective and gender-neutral criteria including skillset, qualifications and experience of the individual. Regular full-time ICE employees are eligible for a suite of competitive employee benefits, including healthcare coverage.