Compliance Manager
| Company | Intercontinental Exchange |
|---|---|
| Location | Jacksonville, FL, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Senior |
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.
- 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.
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.
Preferred Qualifications
- Experience working at a pricing vendor in the securities industry is helpful.