Compliance Manager

Company: Intercontinental Exchange, Inc. ( Learn More )

General Information
US-NY-New York
N/A
4 Year Degree
Full-Time
5 to 7 years
Not Specified
False
False
Job Description

JOB DESCRIPTION

Manager, Compliance

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 Chief Compliance Officer and be responsible for (1) developing, administering and maintaining key policies and procedures, (2) advising employees on regulatory requirements and (3) monitoring the activities to ensure compliance with company policies and regulatory requirements. 

Responsibilities

  • Develop and maintain policies and procedures for CFTC, FINRA; MSRB, NFA and SEC regulations;
  • Collaborate with others on technology and systems to ensure compliance;
  • Manage the compliance programs, including facilitating the risk assessment and annual compliance review, preparing the annual report, establishing and implementing compliance and surveillance processes, testing, and consulting with firm personnel where appropriate
  • Ability to review new regulation and develop supervisory strategies;
  • Coordinate regulatory exams;
  • Prepare and file other regulatory forms/reports, as applicable;
  • Prepare written responses to regulatory inquiries;
  • Audit the firm’s compliance with its internal policies and procedures, policies; and
  • Analyze and document areas of operational or regulatory concern, gather relevant information, and communicate findings to other departments;

  • Requirements

  • Bachelor’s degree and a minimum of 5 to 7 years experience with a securities firm in a compliance position;
  • Series 7 required, Series 24 within six months and Series 53 within one year and Series 3 and 30 a plus;
  • Must have expert knowledge and experience with SEC and FINRA rules and regulations including SEC rule 15c3-5 and Regulation ATS;
  • Ability to make sound judgments on key issues and accurately identify risks;
  • Strong analytical and organizational skills with acute attention to detail;
  • Previous management experience is preferred;
  • 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