Manager, Compliance

Job Description:

ICE Clear Credit (“ICC”), a systemically important clearing house regulated by the CFTC, SEC and Federal Reserve, is seeking a Compliance Manager with a compliance, finance, legal, risk management and/or regulatory background.  As a key member of the ICC Compliance Department, the Compliance Manager will report directly to the Chief Compliance Officer and be responsible to administer and enforce ICC’s compliance and operational risk programs.

 

The Compliance Manager will be responsible for managing and leading compliance initiatives for ICC spanning various regulatory bodies and jurisdictions - this is a unique opportunity to be involved in all aspects of a dynamic and innovative Compliance team

 

Responsibilities

• Compile regulatory reports and file weekly, monthly and quarterly reports with various regulators
• Create and present reports at governing committees
• Participate in regulatory examinations and audits by internal and external parties and track regulatory commitments
• Complete tasks related to ICC’s business continuity and disaster recovery programs
• Assist with drafting and revising policies & procedures as needed
• Administer annual compliance and new hire training, including coordinating and maintaining materials and training rosters
• Assist with the execution of the internal compliance monitoring program, analyze results and work to remediate any identified gaps or deficiencies
• Monitor clearing participant rule compliance
• Review applicable regulations, monitor for compliance, and implement changes, as necessary, to accommodate new rules
• Prepare and organize committee materials, help coordinate committee meetings and draft minutes
• Assist with tasks related to ICC’s information technology and cyber security programs
• Assist with tasks related to ICC’s anti-money laundering program

 

Knowledge and Experience

• Bachelor’s degree or higher, JD a plus
• 5+ years of experience in compliance, risk, legal or internal audit
• Work experience with a regulator or regulated entities such as clearing house, exchange, brokerage, bank or other financial services company a plus
• Excellent communication, organization and time management skills with attention to detail;
• Familiarity with clearing house regulatory requirements a plus
• Critical thinking and analytical skills with ability to flag and trouble shoot system related and operational issues
• Ability to perform multiple projects simultaneously and manage other resources
• Must be proficient in Word, PowerPoint and Excel, SharePoint familiarity is a plus
• Ability to adapt in an evolving regulatory landscape

 

----------: Intercontinental Exchange, Inc. is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to legally protected characteristics.