Intercontinental Exchange, Inc.(ICE) - Riverside, FL
posted 16 days ago
About the position
The Compliance Manager is responsible for assisting in verifying that ICE Data Pricing and Reference Data, LLC ("PRD"), an SEC Registered Investment Adviser, meets its regulatory requirements. The Compliance Manager will support the Chief Compliance Officer in the design, development and execution of a risk-based compliance Program. This includes, but is not limited to, identification of relevant rules and regulations; administer (and creation and oversight, as needed) of PRD policies and procedures to assist in the prevention and detection of gaps in compliance; monitoring systems, processes and for compliance with the PRD Code of Ethics; performing testing as part of the PRD Annual Compliance Report; aiding in the resolution of any gaps in compliance; facilitation of training; and providing compliance advice to PRD Supervised Persons. The Compliance Manager will have an excellent working knowledge of SEC rules and regulations applicable to registered investment advisers.
Responsibilities
- Drafting, implementing and administering policies and procedures related to PRD and its registered investment advisory businesses and the conduct of employees engaging in such businesses.
- Assisting in the monitoring and testing of policies and procedures to verify that PRD remains in compliance with applicable policies and industry rules and regulations.
- Perform testing of policies and business practices in support of PRD's Annual Compliance Report
- Provide advice, guidance and training to Supervised Persons of PRD to verify that employees understand their regulatory obligations and firmwide requirements.
- Evaluate the efficiency of controls and processes and make recommendations for improvement.
- Identify and review new regulations and how they will impact PRD's businesses.
- Participate in and/or represent compliance in governance and oversight meetings and committees.
- Review and assess any new business/offering proposals to determine applicable regulatory requirements and develop relevant policies and procedures as needed.
- Assist in business and firmwide risk assessments.
- Participate in the preparation and filing of regulatory reports/documents, as applicable.
- Assist in the audit/risk assessment of the firm's compliance with internal policies and procedures.
- Analyze and document areas of operational or regulatory concern, gather relevant information, and communicate findings to business and control areas.
Requirements
- Bachelor's Degree and a minimum of 5 years' experience in a compliance role with a US registered investment adviser or with a securities regulator.
- Comprehensive understanding of SEC investment adviser regulation.
- Understanding of the role of pricing vendors in the securities industry. Experience working at a pricing is helpful.
- Strong knowledge of financial markets and, specifically, fixed-income markets.
- Excellent verbal and writing skills (including drafting of policies and procedures).
- Experience interacting with senior management personnel.
- Experience working in a team environment.
- Ability to make independent judgments on key issues and accurately identify risks.
- Strong analytical and organizational skills with attention to detail.
- Ability to work in a large, financial services organization.
- Must be results-oriented, self-motivated and capable of leading projects.
- Ability to work effectively in a fast-paced, sometimes stressful environment.
Nice-to-haves
- Juris Doctorate (JD) from a US accredited law school is a plus.
