Senior Compliance Analyst - Intercontinental Exchange

Jobs via eFinancialCareers; London; Hybrid; GBP 45,000 - 75,000; Full time

Job summary

An established industry player is seeking a Senior Compliance Analyst to ensure adherence to regulations and in-house policies. In this pivotal role, you will assist in the design and execution of a risk-based Compliance Monitoring and Testing Programme, identifying compliance gaps and making recommendations for improvements. Your expertise in control evaluation and regulatory knowledge will be crucial as you communicate effectively with colleagues across all levels. With the flexibility of remote work one day a week, this position offers a unique opportunity to contribute to a dynamic compliance environment while maintaining a work-life balance.

Qualifications

• Proven control evaluation experience and regulatory knowledge required.
• Excellent communication and organizational skills are essential.

Responsibilities

• Develop and deliver a Compliance Monitoring and Testing Programme.
• Evaluate controls and processes, suggesting improvements as needed.
• Prepare reports for senior management and regulatory bodies.

Skills

Control Evaluation

Regulatory Knowledge

Communication Skills

Time Management

Attention to Detail

Tools

Microsoft Excel

Microsoft Access

SQL

Job description

Senior Compliance Analyst

Intercontinental Exchange London, United Kingdom
Job Purpose
The Senior Compliance Analyst is responsible for assisting in ensuring that IFEU, IFAD and TVEU (together the businesses) adhere to all applicable regulation and in-house policies. The Senior Compliance Analyst will assist the Compliance Director in the design and execution of a risk-based Compliance Monitoring and Testing Programme. This will involve participation in the identification of relevant regulations; providing useful feedback into the maintenance of processes to prevent and detect gaps in compliance; monitoring systems of control that help to ensure compliance; aiding in the resolution of any gaps in compliance; and providing support to the Compliance Director in advising the businesses on compliance issues that may arise from current and future plans.

The Senior Compliance Analyst will have a good working knowledge of 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 businesses. The Senior Compliance Analyst will be comfortable communicating with colleagues across all levels of ICE and delivering tough messages when needed.

Responsibilities

1. Participate in the development and delivery of a Compliance Monitoring and Testing Programme.
2. Evaluate the efficiency of controls and processes and make recommendations for improvements.
3. Suggest revisions to procedures and reports periodically to identify hidden risks or compliance gap issues.
4. Participate in the assessment of ICE Futures Europe's strategy to identify possible compliance risks.
5. Develop a thorough understanding of ICE Futures Europe operations and associated business (including clearing and trade repository).
6. Keep abreast of regulatory developments within or outside of ICE Futures Europe as well as evolving best practices in compliance control.
7. Assist in the preparation of reports for ICE Futures Europe senior management, The Board and Risk and Audit Committee, and external regulatory bodies as appropriate.
8. Other Compliance duties as required including but not limited to review of Incentive Programmes for compliance with regulation and assisting with managing the regulatory interface.

Knowledge and Experience

1. Proven control evaluation experience.
2. Knowledge of Exchange or Financial Services businesses and applicable standards and regulations.
3. Excellent communication, organization, and time management skills with appropriate attention to detail.

Preferred

1. Excellent knowledge of reporting procedures and record keeping.
2. Good knowledge of IT systems and the ability to validate whether systems support ICE Futures Europe in meeting its regulatory requirements.
3. 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.