At a Glance
- Tasks: Lead compliance initiatives and ensure adherence to regulatory standards in a dynamic financial environment.
- Company: Join a global leader in financial services with a focus on innovation and compliance.
- Benefits: Competitive salary, comprehensive benefits, and opportunities for professional growth.
- Other info: Fast-paced environment with excellent career advancement potential.
- Why this job: Make a real impact in the financial sector while developing your compliance expertise.
- Qualifications: Experience in compliance or risk management within financial services; law degree preferred.
The predicted salary is between 48000 - 72000 £ per year.
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Job DescriptionIntercontinental Exchange, Inc. (“ICE”) a global provider of financial services, 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).
This position will report to General Counsel, Credit & Processing Businesses and be responsible for (1) developing and administering key policies and procedures related to the FCA Firms’ compliance programs, (2) advising employees on regulatory and other compliance requirements related to the Firms and their products and services, and (3) participating in employee compliance oversight, guidance, and training to ensure compliance with company policies and regulatory requirements.
Responsibilities- Participate in drafting and administering policies and procedures for regulations and applicable industry standards, 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;
- Participate in the management of 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, successfully 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 other 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;
- Bachelor’s degree/University degree level education and extensive experience with a financial services or technology firm in an operations, risk or compliance position;
- Law degree preferred but not required.
- Must have strong knowledge and experience with securities, investment products, pricing, and transactions with an 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;
- Must be results-oriented and self-motivated; and
- Ability to work effectively in a fast-paced, sometimes stressful environment.
- Not Applicable
- Full-time
- Legal
Senior Manager, Compliance in London employer: ICE
Intercontinental Exchange, Inc. (ICE) is an exceptional employer that fosters a dynamic and inclusive work culture in the heart of London. As a Senior Compliance Manager, you will benefit from comprehensive training programs, opportunities for professional growth, and the chance to work alongside industry experts in a supportive environment. ICE prioritises employee well-being and offers competitive benefits, making it an ideal place for those seeking meaningful and rewarding careers in financial services.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Manager, Compliance in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like ICE looking for candidates who are engaged and informed.
We think you need these skills to ace Senior Manager, Compliance in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at ICE. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at ICE
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with ICE’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
