Regulatory Oversight Manager

Job Purpose

ICE Clear Credit, a systemically important clearing house regulated by the CFTC, SEC and Board of Governors of the Federal Reserve, is seeking a Regulatory Oversight Manager with a compliance, risk management, legal and/or regulatory background. As a senior member of the ICC Compliance Department, the Regulatory Oversight Manager will report directly to the Chief Compliance Officer and will be responsible to oversee the enhancement and implementation of ICE Clear Credit's Compliance Risk Assessment and Monitoring Program. This will involve identifying relevant regulations; providing useful feedback into the maintenance of processes to prevent and detect gaps in compliance; monitoring systems of control that assist in regulatory compliance; aiding in the remediation of compliance issues; and providing support in advising ICE Clear Credit on potential compliance issues.

Responsibilities

• Develop and implement policies and procedures reasonably designed to ensure regulations are integrated/implemented into relevant documentation and processes
• Undertake compliance risk assessments and monitoring to ensure an appropriate compliance environment
• Participate in regulatory examinations and audits by internal and external parties and track regulatory commitments
• Create and present reports at governing Board/committees
• Work closely with colleagues across the clearing house including business, finance, risk, technology, cyber security, BCP/DR and operational teams
• Assist with all elements of the compliance program including regulatory communications, issue management and training
• Assist with the execution of the internal compliance monitoring program, analyze results and work to remediate any identified gaps or deficiencies
• Review applicable regulations, monitor for compliance, and implement changes, as necessary, to accommodate new rules

Knowledge and Experience

• Bachelor's Degree; or equivalent years of applicable experience
• Work experience with a regulator or regulated entities such as a clearing house, exchange, brokerage, bank or other financial services company
• 5+ years demonstrable experience in compliance, legal, finance, operations or risk
• Excellent communication and documentation skills
• Strong IT skills including excellent knowledge of Microsoft Office and proficiency with software applications
• Ability to effectively work in a team environment and meet deadlines
• Excellent research, organizational, decision-making and problem solving skills
• Self-motivated with ability to multi-task and work independently with confidential and sensitive information
• Knowledge of and experience with SEC or CFTC regulations and/or IOSCO Principles for Financial Market Infrastructures a plus
• Experience in technology, including development, change control, infrastructure and/or information security a plus
• JD or MBA a plus
• Knowledge of clearing house operations and applicable regulatory standards a plus
• Swaps, futures or derivatives experience a plus

Schedule

This role offers work from home flexibility of up to 2 days per week.

Intercontinental Exchange, Inc. is an Equal Opportunity and Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, sexual orientation, gender identity, national origin or ancestry, age, disability or veteran status, or other protected status.

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