Manager, Compliance

Job Purpose

The Compliance Manager is responsible for assisting in ensuring that the clearing house of the Intercontinental Exchange Group (ICE) in the Netherlands meets its regulatory requirements. The Compliance Manager will support the Chief Compliance Officer in the design, development and execution of a risk-based Compliance Programme for ICE Clear Netherlands. This will involve participation in the identification of relevant regulations; maintenance of policies and procedures to prevent and detect gaps in compliance; monitoring processes and systems of control; aiding in the resolution of any gaps in compliance; facilitation of training; and providing advice to business.

The Compliance Manager will have an excellent working knowledge of financial regulations and corporate governance requirements, will be a professional of the highest standard and work diligently to complete their duties keeping in mind the objectives and core competences of ICE.

Responsibilities

• Participate in the enhancement of the annual Compliance Programme and delivery of the Compliance Monitoring and Testing Programme.
• Evaluate the efficiency of controls and processes and make recommendations for improvements.
• Participate in the identification and assessment of possible compliance risks for (new) business and projects.
• Develop a thorough understanding of operations and associated (clearing & trading) business.
• Execution of corporate secretarial duties for the Board and/or sub-committees.
• Reporting to senior management and external regulatory bodies (including regulatory requests and audits) as appropriate.
• Support the oversight of members within the (Clearing) Rules Framework (e.g. onboarding process, monitoring, surveillance, investigations). 
• Keep abreast of regulatory developments and develop compliance policies.
• Other duties as required including various administrative, project management and regulatory tasks and supporting the ICE organisation and businesses (including relevant affiliates).

Knowledge and Experience

• Bachelor’s or Master’s degree
• 7-10 years of relevant experience
• Proven regulatory, compliance risk management and monitoring experience  
• Good understanding of the financial markets, financial services regulation and corporate governance requirements
• Excellent communication, organization, and time management skills with appropriate attention to detail. Comfortable communicating with colleagues across all levels within the ICE Group
• Problem solving - proficient at identifying problems and working efficiently to resolve issues

Preferred

• Knowledge of clearing operations and regulation
• Strong team player
• Enthusiastic and hands-on approach
• Analytical and structured way of working