Compliance Analyst

American Vanguard ,
London, Greater London
More Details

Overview

Job Description

Job Purpose The Compliance Analyst is responsible for assisting in ensuring that ICE Futures Europe adheres to all applicable regulation and in-house policies. The Compliance Analyst will therefore assist the Compliance Director in the design and execution of a risk-based Compliance Monitoring and Testing Programme. This will involve participation in the identification of relevant regulations; providing useful feedback into the maintenance of processes to prevent and detect gaps in compliance; monitoring systems of control that help to ensure compliance; aiding in the resolution of any gaps in compliance; and providing support to the Compliance Director in advising ICE Futures Europe on compliance issues that may arise from current and future plans. The Compliance Analyst will have a basic 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 Analyst will be comfortable communicating with colleagues across all levels of the Intercontinental Exchange and delivering tough messages when needed. Responsibilities * Participate in the development and delivery of a Compliance Monitoring and Testing Programme * Evaluate the efficiency of controls and processes and make recommendations for improvements * Suggest revisions to procedures and reports periodically to identify hidden risks or compliance gap issues * Develop a thorough understanding of ICE Futures Europe operations and associated business (including clearing and trade repository) * Keep abreast of regulatory developments within or outside of ICE Futures Europe as well as evolving best practices in compliance control * Assist in the preparation of reports as required * Other Compliance duties as required including but not limited to review of Incentive Programmes for compliance with regulation and assisting with managing the regulatory interface Knowledge and Experience * Proven compliance experience * Knowledge of Exchange or Financial Services businesses and applicable standards and regulations * Excellent communication, organization, and time management skills with appropriate attention to detail Desired * Excellent knowledge of reporting procedures and record keeping * Certified compliance professional is a plus * Good knowledge of IT systems and the ability to validate whether systems support ICE Futures Europe in meeting its regulatory requirements * Knowledge and experience in building End User Developed Applications (including in Microsoft Excel, Access, SQL etc) is a plus Additional Information * Job Type: Standard * Schedule: Full-time

People also viewed