Manager, Compliance

at  Intercontinental Exchange Holdings Inc

Job Description:

ESSENTIAL 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.

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 (the “organisations”), ensuring their ongoing compliance with laws, regulatory requirements, policies, and procedures.

The Compliance Manager is responsible for ensuring that the organisations adhere to all applicable regulation and in-house policies. In achieving this, the Compliance Manager will be responsible for areas of proactive compliance including:

• 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.

In addition, the Compliance Manager will be responsible for other activities including:

• 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.

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.

RESPONSIBILITIES

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.