Compliance Analyst

Company: Intercontinental Exchange, Inc. ( Learn More )

General Information
US-NY-New York
N/A
4 Year Degree
Full-Time
2 to 3 years
Not Specified
False
False
Job Description

JOB DESCRIPTION

Creditex Securities Corporation, a subsidiary of Intercontinental Exchange, is a FINRA. MSRB and NFA registered entity, which offers electronic trading services in fixed income securities and introducing brokering services for futures. 

This position will report to the Manager, Compliance and will be responsible for administering policies and procedures and monitoring activities to ensure compliance with company policies and regulatory requirements. 

Responsibilities

  • Perform electronic communication surveillance;
  • Assist with the monitoring of the firm’s and employees trading activity;
  • Responsible for implementing the firm’s Customer Identification Program and sanction screening;
  • Responsible for the registration process with FINRA and the NFA;
  • Responsible for reviewing new regulation;
  • Assist in the coordination of regulatory exams;
  • Assist in the preparation of written responses to regulatory inquiries; and
  • Assist in other projects as required

  • Requirements

  • Bachelor’s degree and a minimum of 2-3 years of experience with a securities firm in a compliance position;
  • Series 7 required
  • Ability to make sound judgments on key issues and accurately identify risks;
  • Strong analytical and organizational skills with acute attention to detail;
  • Excellent verbal and written communication skills;
  • Must be results-oriented and self-motivated; and
  • Ability to work effectively in a fast-paced, sometimes stressful environment
  • LOCATION

    NY: New York (55 E 52nd St)

    FULL TIME / PART TIME

    Full time



    Intercontinental Exchange

    ICE is an

    Equal Opportunity Employer. All qualified applicants will receive consideration without regard to race, color, religion, gender, sexual orientation, gender identity, national origin or ancestry, age, disability or veteran status, or other protected status.

    Job Requirements