Job Purpose
The Director Regulation & Compliance serves as “Chief Regulatory Officer” for ICE Endex Markets B.V. (the “Exchange”)
Responsibilities
- Establishing an excellent and pro-active customer service relationship with Exchange members.
- Assuring that the Exchange operates fair, orderly, and transparent markets.
- Assuring Exchange rules and procedures are adhered to by members and that disciplinary actions are taken in case of breaches.
- Work with the Management Board to establish, maintain and operate a framework which will keep the Exchange at the forefront of global best practice.
- Market surveillance - to participate in surveillance activities through the Market Conduct Committee and the Market Surveillance Committee.
- Oversee the performance of relevant (intra-group) Exchange’s outsourced service providers, including reporting to appropriate governance committees.
- Working with colleagues within the ICE group to design, develop and implement enhancements to policies, systems and processes, with the goal of delivering a ‘best-in-class’ services compliant with applicable laws and regulations.
- Playing a key role in ensuring ICE Endex meets the recognition and licence requirements within the Netherlands and relevant foreign jurisdictions.
- Monitor regulatory developments, provide regulatory advice on meeting new compliance requirements, and coordinate responses to consultation papers.
- Be the central liaison with Dutch, EU and foreign regulators, coordinate and respond to regulatory queries.
- Maintain a relationship with related regulatory bodies as required.
- Maintain a comprehensive compliance monitoring and testing program
- Ensure timely submission of various regulatory returns and compliance reports.
- Ensure all necessary regulatory approvals/notifications are obtained/made (e.g. for products, rule changes, key appointments, etc.).
- Manage any regulatory inspections and audits.
- Co-ordinate compliance reporting to ICE group.
Knowledge and Experience
- Educated to master’s degree level or equivalent.
- Broad experience in regulated market regulation or equivalent.
- In-depth knowledge of derivatives markets.
- Excellent verbal and written communication skills.
- Demonstrates initiative, hands-on, strong organisational skills, and teamwork orientation.
- Strong attention to detail.
- Excellent problem-solving skills.
- Proven ability to build and manage commercial and strategic relationships with customers, regulators and internal groups.
