Compliance Director

Intercontinental Exchange ,
London, Greater London
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Overview

Job Description

Job Purpose The Compliance Director is responsible for all aspects of the Exchange's Compliance with its regulatory obligations. This will include building and implementing a robust risk-based Compliance Monitoring and Testing Programme and managing the Compliance function in its other day to day activities including managing the relationship with the FCA, oversight of the design and implementation of incentive programmes and the admission of contracts to trading. The Compliance Director will be responsible for managing processes that identify gaps in the regulatory knowledge of ICE Futures Europe staff and coordinating the facilitation of training programmes to address these gaps. The Compliance Director will have a strong working knowledge of regulation and corporate governance best practices, will be a professional of the highest standard and work diligently to complete their duties keeping in mind the objectives of ICE Futures Europe. The Compliance Director will be comfortable communicating with colleagues across all levels of the Intercontinental Exchange and delivering tough messages when needed. Responsibilities * Designing, implementing, overseeing and monitoring the implementation of the Compliance Monitoring and Testing Programme * Manage the development and delivery of the annual Compliance Monitoring and Testing Programme * Periodically revising the annual Compliance Monitoring and Testing Programme as required * Developing the wider annual compliance work plan * Guiding the Compliance team in a productive, professional way * Preparing and presenting clear and concise compliance reports to senior management and the Risk and Audit Committee * Providing guidance, advice, and/or facilitating training and educational programs, to improve ICE Futures Europe's understanding of regulatory requirements * Managing the relationship with the FCA and interacting with them on the compliance programme and new Exchange initiatives from the perspective of IFEU's compliance with its regulatory obligations * Oversee the design and implementation of incentive programmes, the admission of new contracts to trading and changes to existing contracts * Working with the Legal Department, oversee proposed changes to the Exchange's Rules and associated policies and guidance documents * Coordinating efforts related to audits, reviews, and examinations * Keep abreast of regulatory developments within ICE Futures Europe as well as evolving best practices in compliance control Knowledge and Experience * Proven experience of managing teams of professionals at various levels of seniority * Proven experience as a provider of assurance * Proven experience in designing, implementing and reviewing systems of process and control to identify weaknesses outside of defined risk appetites * Knowledge of Exchange businesses and applicable standards and regulations * Excellent communication, organization, and time management skills with appropriate attention to detail * Excellent communication, organization, and time management skills with appropriate attention to detail Additional Information * Job Type: Standard * Schedule: Full-time

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