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For Companies At a Glance
- Tasks: Lead compliance initiatives and ensure adherence to regulatory requirements in a dynamic financial environment.
- Company: Join Intercontinental Exchange, a global leader in financial services with a collaborative culture.
- Benefits: Competitive salary, professional development opportunities, and a supportive work environment.
- Why this job: Make a real impact in compliance while working with industry experts in a fast-paced setting.
- Qualifications: Experience in compliance or risk management within financial services; strong analytical skills required.
- Other info: Opportunity for career growth and to influence key compliance strategies.
The predicted salary is between 43200 - 72000 £ per year.
Job Description
Job Purpose
Intercontinental 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;
Knowledge and Experience
- 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.
Senior Manager, Compliance - Intercontinental Exchange employer: Intercontinental Exchange
Contact Detail:
Intercontinental Exchange Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Manager, Compliance - Intercontinental Exchange
✨Tip Number 1
Network like a pro! Reach out to folks in your industry, especially those at Intercontinental Exchange. A friendly chat can open doors that a CV just can't.
✨Tip Number 2
Prepare for interviews by researching the company and its compliance programmes. Show us you know your stuff and how you can contribute to their goals.
✨Tip Number 3
Practice your answers to common compliance-related questions. We want to see your expertise shine through, so be ready to discuss your experience with FCA regulations.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed and shows us you're serious about joining the team.
We think you need these skills to ace Senior Manager, Compliance - Intercontinental Exchange
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Manager role. Highlight your experience with FCA regulations and compliance programs, as this will show us you understand what we're looking for.
Craft a Compelling Cover Letter: Your cover letter should tell us why you're the perfect fit for this position. Share specific examples of how you've developed compliance policies or trained employees in the past, so we can see your expertise in action.
Showcase Your Analytical Skills: In your application, don’t forget to mention your strong analytical skills. We want to know how you've identified risks and implemented solutions in previous roles, especially in fast-paced environments.
Apply Through Our Website: We encourage you to apply through our website for the best chance of getting noticed. It’s the easiest way for us to keep track of your application and ensure it reaches the right people!
How to prepare for a job interview at Intercontinental Exchange
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of FCA rules and UK financial legislation. Be ready to discuss how your experience aligns with the compliance requirements of the role, especially in relation to securities and investment products.
✨Showcase Your Analytical Skills
Prepare examples that highlight your strong analytical abilities. Think of situations where you've identified risks or developed compliance strategies, and be ready to explain your thought process during the interview.
✨Communicate Clearly
Since this role involves advising employees and presenting compliance findings, practice articulating complex compliance concepts in a straightforward manner. Clear communication is key, so consider doing mock interviews with a friend.
✨Demonstrate Leadership Experience
Be prepared to discuss your previous leadership roles, especially in compliance governance or oversight meetings. Highlight how you've successfully engaged stakeholders and led teams to ensure adherence to policies and regulations.
