Manager, Compliance FTC - Intercontinental Exchange

Jobs via eFinancialCareers; London; Hybrid; GBP 60,000 - 80,000; Full time

Job summary

Join a dynamic and fast-growing organization as a Compliance Manager, where you'll play a pivotal role in ensuring regulatory adherence and supporting strategic compliance initiatives. This position offers the chance to work closely with regulators and internal teams, fostering a collaborative environment. You'll be responsible for guiding compliance activities, producing regulatory reports, and maintaining essential documentation. With a flexible work-from-home option, this role is perfect for those who thrive in a regulated environment and seek to make a meaningful impact in the financial services sector. Embrace this opportunity to advance your career in compliance management!

Qualifications

• Proven compliance experience in a regulated environment.
• Strong knowledge of Exchange or Financial Services regulations.

Responsibilities

• Communicate with regulators to ensure compliance and timely responses.
• Support product groups on regulatory requirements for new launches.

Skills

Compliance Management

Regulatory Knowledge

Communication Skills

Organizational Skills

Attention to Detail

Education

Certified Compliance Professional

Tools

Microsoft Excel

SQL

Microsoft Access

Job description

Manager, Compliance FTC

Intercontinental Exchange London, United Kingdom Apply now Posted 15 hours ago Hybrid Job Permanent Competitive

NT- THIS IS A 15MONTH FTC POSITION

Job Purpose

ICE Futures Europe (the Exchange), Intercontinental Exchange's (ICE) European Recognised Investment Exchange, Recognised Auction Platform and Benchmark Administrator, is a dynamic and fast-growing organisation which constantly evolves to meet the needs of its customers and the requirements of its regulators.

Trade Vault Europe is a UK registered Trade Repository regulated by the Financial Conduct Authority, and an EU Agency for the Cooperation of Energy Regulators (ACER) approved Registered Reporting Mechanism (RRM).

The Compliance Manager's role is to support the Compliance Director in the execution of the regulatory and compliance activities of ICE Futures Europe and ICE Trade Vault Europe, ensuring their ongoing compliance with laws, regulatory requirements, policies, and procedures. They are responsible for ensuring that the organisations adhere to all applicable regulation and in-house policies. The Compliance Manager will also have the opportunity to support the Regulation and Compliance department in relation to its forward looking Regulatory and Compliance Strategy, be involved in the Insider Information process, assist in the production and presentation of papers for Governance Committees and the assessment of performance against risk appetite metrics.

The Compliance Manager will be well versed in regulation and corporate governance best practices, will be a professional of the highest standard and work diligently to complete their duties keeping in mind the objectives of the Companies.

The Compliance Manager will be comfortable communicating with colleagues across all levels of ICE and working in a collegiate and respectful team environment.

Responsibilities

• Communicating directly with the Exchange's regulators to ensure that necessary notifications are made, that their queries are responded to in a timely, accurate and professional manner, and that the open and transparent regulatory relationship is maintained.
• Providing support and guidance to the Head of Corporate Development and the Exchange's product groups on the regulatory requirements relating to new product launches.
• Providing support and guidance to the Head of Corporate Development and the Exchange's product groups on the regulatory requirements relating to Liquidity Provider Programmes.
• Providing second line challenge and sign-off for Exchange circulars and assessing the resulting regulatory obligations.
• Providing second line support and challenge in relation to the UK EMIR Refit, advocating on behalf of ICE and its customers.
• Collating, checking, and submitting regulatory reports to the Exchange's overseas regulators.
• Reviewing and submitting monthly emission auction reports to the FCA, HM Treasury and the Department of Energy Security and Net Zero.
• Producing regulatory self-assessments including compliance with Article 48 of Directive 2014/65EU prior to a major platform release, or at least annually; and the annual review of ongoing compliance with the CFTC's Foreign Board of Trade requirements.
• Coordinating the annual Compliance Assessment Document (CAD) process and producing the associated governance papers.
• Ensuring that the Compliance Manual and supporting operating procedures are kept up to date.
• Reviewing and allocating alerts produced by the Horizon Scanning system.
• Any other responsibilities as assigned by the Compliance Director.

Knowledge and Experience

• Proven compliance experience in a strongly regulated environment including sufficient knowledge and experience to make decisions independently as well being able to seek guidance where necessary.
• Strong knowledge of Exchange or Financial Services businesses and applicable standards and regulations.
• Willingness to work in a team or independently as required.
• Good knowledge of IT systems and the ability to validate whether systems support the Companies in meeting their regulatory requirements.
• Excellent communication, drafting, organisation, and time management skills with appropriate attention to detail.

Desirable Experience

• Excellent knowledge of reporting procedures and record keeping.
• Certified compliance professional is a plus.
• Knowledge and experience in building End User Developed Applications (including in Microsoft Excel, Access, SQL etc) is a plus.

Schedule

This role offers work from home flexibility of 1 day per week.