דרושים Compliance Manager ב-Intercontinental Exchange - Ice ב-United Kingdom, South Somerset

Job Purpose

The Senior Compliance Analyst (“SCA”) is responsible for assisting in verifying that ICE Data Pricing and Reference Data, LLC (“PRD”), an SEC Registered Investment Adviser, meets its regulatory requirements. The SCA will support the Chief Compliance Officer in the design, development and execution of a risk-based compliance Program. This includes, but is not limited to, identification of relevant rules and regulations; administer (and creation and oversight, as needed) of PRD policies and procedures to assist in the prevention and detection of gaps in compliance; monitoring systems, processes and for compliance with the PRD Code of Ethics; performing testing as part of the PRD Annual Compliance Report; aiding in the resolution of any gaps in compliance; facilitation of training; and providing compliance advice to PRD Supervised Persons.

The SCA will have an excellent working knowledge of SEC rules and regulations applicable to registered investment advisers.

Responsibilities

• Drafting, implementing and administering policies and procedures related to PRD and its registered investment advisory businesses and the conduct of employees engaging in such businesses.
• Assisting in the monitoring and testing of policies and procedures to verify that PRD remains in compliance with applicable policies and industry rules and regulations.
• Perform testing of policies and business practices in support of PRD’s Annual Compliance Report
• Provide advice, guidance and training to Supervised Persons of PRD to verify that employees understand their regulatory obligations and firmwide requirements.
• Evaluate the efficiency of controls and processes and make recommendations for improvement.
• Identify and review new regulations and how they will impact PRD’s businesses.
• Participate in and/ or represent compliance in governance and oversight meetings and committees.
• Review and assess any new business/offering proposals to determine applicable regulatory requirements and develop relevant policies and procedures as needed.
• Assist in business and firmwide risk assessments.
• Participate in the preparation and filing of regulatory reports/documents, as applicable.
• Assist in the audit/ risk assessment of the firm’s compliance with internal policies and procedures.
• Analyze and document areas of operational or regulatory concern, gather relevant information, and communicate findings to business and control areas.

Knowledge and Experience

• Bachelor’s Degree and 2+ years’ experience in a compliance role with a US registered investment adviser or with a securities regulator.
• Comprehensive understanding of SEC investment adviser regulation.
• Understanding of the role of pricing vendors in the securities industry.
• Experience working at a pricing vendor is helpful.
• Strong knowledge of financial markets and, specifically, fixed-income markets.
• Excellent verbal and writing skills (including drafting of policies and procedures).
• Experience interacting with senior management personnel.
• Experience working in a team environment.
• Ability to make independent judgments on key issues and accurately identify risks.
• Strong analytical and organizational skills with attention to detail.
• Ability to work in a large, financial services organization
• Must be results-oriented, self-motivated and capable of leading projects.
• Ability to work effectively in a fast-paced, sometimes stressful environment.

Responsibilities

• Lead a team through the idea generation, technical development, implementation and launch of innovative products for entity data and alternative investments (private credit, private equity).
• Be the lead contributor towards the design and implementation of new business initiatives (e.g., new products).
• Define strategy to leverage external data for effective platform/product growth within the region.
• Take a data-driven approach to product enhancements, identifying opportunity areas and contributing to the Product roadmap, prioritizing work to deliver against key areas of focus.
• Partner with Strategic Delivery functions to develop and execute on product roadmaps.
• Participate in both formulating the business strategy as well as channeling into a clearly defined direction and product strategy.
• Work with other product and development leaders to ensure alignment with their roadmaps and delivery.
• Serve a critical role in the successful integration and subsequent product buildout of strategic company acquisitions.
• Participate in cross-functional teams (e.g. Product, Business Analysis, Software Engineering) in the development of business requirements to meet customer needs.
• Collaborate with target market representatives, customers, and partners to create powerful and revenue generating solutions for the marketplace.
• Expertise in business requirements writing. Requires extensive knowledge of all areas of the business including but not limited to content, development, product design, workflow, billing, and configuration.
• Must be well versed in industry and company focused initiatives and understand how that content could be utilized within reference data products.
• Understand the business problems and opportunities in the context of the requirements and help recommend solutions that enable the organization to achieve its goals.
• Liaise with the Stakeholders in managing, defining, prioritizing, planning, and executing the vision for our applications targeting our core Data Services customers.
• Identify and communicate project risks and issues.
• Ability to operate in a multi-tasking and deadline driven team environment.
• Demonstrate a commitment to continuous learning by leveraging the learning & development curriculum to augment existing knowledge, skills, and experiences.
• Maximize efficiency in a constantly evolving environment where the process is fluid and creative solutions are the norm.

Knowledge and Experience

• Bachelor’s degree is a minimum.
• 5+ of experience in the financial services industry working with reference data. Ideally, some of these were when you were leading a team.
• 3+ years of experience querying / retrieving data from structured databases (SQL/Oracle. Python).
• Experience with alternative investments
• Excellent ability to communicate technical ideas and concepts to colleagues outside the domain.
• Strong collaboration skills – ability to navigate cross functional teams to deliver on shared objectives.
• Excellent communication and listening skills with an ability to develop a clear message for senior management and craft the story around it.
• Must have the ability to develop strong relationships with colleagues at all levels of the organization
• Organized and structured with excellent attention to detail.
• Acute understanding of how data is stored and flows through systems and databases.
• Skilled in excel to analyze data, identify trends, and come to conclusions.
• Understanding of how to identify and develop product enhancements.
• Excellent analytical and problem-solving skills - solid hands-on experience of functional analysis, with extensive experience translating business requirements into functional, design and test documentation.
• Strong written and verbal communication skills - ability to work with the client/user community to translate their requirements, however expressed, into development materials and conversely present development materials to client/users in a comprehensible way.
• Must be able to supervise, organize, prioritize workload and work on numerous projects/tasks at one time.
• A working knowledge, and ideally hands on experience, of the development life cycle, covering basic design, testing cycles from unit to acceptance testing, implementation, and post release bug/issue fixes.
• Familiarity with a range of product interfaces (XML/JSON Files, APIs, Front-End Viewers).
• Strong communication and leadership skills.

Job Purpose

As a Technical Account Manager, you will be assigned to a number of strategic and high value customer accounts and will be expected to develop a deep understanding of the IDS Connectivity services those accounts are contracted for. This knowledge will enable you to forge a strong technical relationship based on trust and competence with key stakeholders and sponsors on the client side, which in turn will allow you and the wider ICE Data Services organization, to provide the best possible service to those accounts, as well as growing our footprint of services and infrastructure over time.

The Technical Account Manager is expected to become a subject matter expert in ICE Data Services Connectivity products and will act as a technical liaison to the client, as well as the wider IDS Account Management and Sales organization. The TAM will provide product update briefings, host technology and content training workshops, deliver service review presentations, manage support escalations, as well as coordinating service delivery projects on an ongoing basis. The TAM will also be responsible for ensuring their accounts are configured optimally in terms of performance, resiliency and security, such that they can derive optimal value from their IDS Connectivity services.

Responsibilities

The Technical Account Manager has essentially 3 key remits across all assigned accounts:

• Maximize current service experience
• • The Technical Account Manager ensures the infrastructure in place is optimized and future proofed to deliver the services in the best possible way. Any current or future capacity/performance constraints or technology obstacles are understood and mitigated ahead of time. Resiliency and latency-optimization analysis will be conducted on a regular basis to ensure peak performance.
  • The Technical Account Manager networks within their strategic accounts to partner with key business sponsors and technical leads to drive increased adoption and usage of ICE’s Connectivity services across as wide a user base as possible.
  • The Technical Account Manager has access to key technology, operations and business stakeholders at all assigned accounts and ensures they are aware of and leveraging the latest technologies and features available to derive the most value from the services currently contracted for.
  • The Technical Account Manager is aligned with ICE Network Operations and is fully up-to-date on all ongoing service incidents and acts as a point of escalation to help resolve and if necessary, expedite, any perceived issues impacting service.
  • The Technical Account Manager works closely together with ICE’s Service Delivery, Customer Engineering and Exchange Relations teams to oversee any project-related work (upgrades, migrations, decommissions) and act as the central point of contact through completion.
• Alignment of customer’s service aspirations with ICE Data Services product roadmaps
• • The Technical Account Manager has an expert view on all IDS Connectivity product roadmaps and ensures the relevant stakeholders on the customer side have a good appreciation of upcoming new content additions, technology enhancements and strategic product launches ahead of time. The customer has early access to this information to allow for feedback which in turn would be fed into the priority setting by IDS product management and the business leaders.
  • The Technical Account Manager has a deep understanding of the tactical and strategic business development roadmaps on the customer side to help drive and align our own product roadmaps accordingly ranging from new or changing content requirements, adaption of or migration to new technologies as well as understanding competitor offerings that might be considered superior and undermine our strategic position if not addressed.
• Conduct service satisfaction surveys
• • The Technical Account Manager performs a regular service satisfaction review soliciting feedback from senior stakeholders by means of a formal survey template.
  • The survey results allow ICE Data Services to document and score customer satisfaction rates across multiple disciplines, allowing us to trend (and address) the client’s perception of ICE Data Services over time, and understand how we perform relative to other competitor services used.
  • The survey results across all Technical Account Manager accounts are summarized in an executive management report on a yearly basis to help drive internal efforts to enhance service and product areas and help accelerate revenue growth.

The duties and responsibilities of the Technical Account Manager are not performed in isolation, but in close coordination with, and supported by, other ICE Data Services departments including the Account Management organisation, Service Delivery, Customer Engineering, Exchange Relations, Sales and Pre-Sales, Product Management and the ICE Data Services leadership team.

Knowledge and Experience

• 5+ years’ experience working for a financial network service provider in a Technical Account Management, Pre-Sales, Support or Product capacity, having had significant exposure to associated technology, terminology, vendors, trading venues, market forces, regulation
• Excellent understanding of financial markets, the trading life cycle and related terminology
• Content specialist across various asset classes (futures and equities essential)
• Project management experience
• Attention-to-detail in all aspects of work is essential
• Confident and professional communicator, both written and in front of an audience
• Logical and methodical at trouble-shooting
• Comfortable following established processes and procedures as well as identifying the need for process improvement where needed
• Accountability, always putting the client’s interests first
• Ability to multi-task and prioritize under pressure, while maintaining high quality output and meeting deadlines
• Strong presentation skills
• Excellent time management skills

Job Purpose

Intercontinental Exchange, Inc. (“ICE”) a global provider of financial services, is looking for a Senior Compliance Manager for certain of its regulated businesses located in its London Office. This position will support several of ICE’s affiliated FCA authorised and regulated Firms, Creditex Brokerage LLP, ICE Markets Limited and ICE Data Desktop Solutions Limited. This position will assist with the implementation and monitoring of the FCA Firms’ compliance program requirements (including the ICE corporate compliance program).

This position will report to General Counsel, Credit & Processing Businesses and be responsible for (1) developing and administering key policies and procedures related to the FCA Firms’ compliance programs, (2) advising employees on regulatory and other compliance requirements related to the Firms and their products and services, and (3) participating in employee compliance oversight, guidance, and training to ensure compliance with company policies and regulatory requirements.

Responsibilities

• Participate in drafting and administering policies and procedures for regulations and applicable industry standards, coordinating input from relevant stakeholders (e.g., compliance and legal resources) as needed;
• Develop and implement guidance and training to ensure employee understanding and compliance in coordination with corporate training programs;
• Coordinate control development, oversight, relevant policies and procedures, and perform surveillance on key products and services in connection to the firm’s requirements;
• Participate in the management of the compliance programs, including facilitating local risk assessments and compliance reviews, preparing and presenting compliance reporting, establishing and implementing compliance and surveillance processes, testing, and consulting with firm personnel where appropriate;
• Assist in customer onboarding, including the performance of customer due diligence and ongoing monitoring of customers in accordance with the firm’s policies and procedures and applicable regulatory requirements;
• Assist with employee registration with relevant regulator(s);
• Supervise activities of employees to ensure that firm policies, corporate policies and regulator rules are being adhered to;
• Assess proposed new lines of business/offerings to determine applicable regulatory and registration requirements and develop corresponding policies and procedures in coordination with relevant stakeholders (e.g., compliance, legal and business resources) as needed;
• Identify and review new regulations and present supervisory strategies;
• Participate in and/ or lead certain compliance governance and oversight meetings and committees, successfully communicating and engaging business stakeholders on findings, issues, and remediation requirements;
• Assist in risk assessments and review and lead the report preparation;
• Participate in the preparation and filing of other regulatory forms/reports, as applicable;
• Assist in the preparation of written responses to regulatory inquiries;
• Assist in the audit/ risk assessment of the firm’s compliance with its internal policies and procedures; and
• Analyze and document areas of operational or regulatory concern, gather relevant information, and communicate findings to other departments;

Knowledge and Experience

• Bachelor’s degree/University degree level education and extensive experience with a financial services or technology firm in an operations, risk or compliance position;
• Law degree preferred but not required.
• Must have strong knowledge and experience with securities, investment products, pricing, and transactions with an emphasis on fixed income.
• Previous experience at an FCA member firm.
• Knowledge of FCA Rules and Guidance and relevant UK financial legislation
• Knowledge of UK Money Laundering Regulations
• Ability to make independent judgments on key issues and accurately identify risks;
• Strong analytical and organizational skills with acute attention to detail;
• 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.

Job Purpose

The Relationship Manager is responsible for proactively managing ongoing relationship for a territory of 4 to 40 accounts ranging in revenue from 5M to 60M in annual revenue. The primary role of the Relationship Manager is to build trust based and value added relationships with key clients within the accounts they manage. The Relationship Manager is measured on revenue retention with the goal of strengthening and enhancing long term client relationships.

Responsibilities

• The Relationship Manager will be responsible for all ICE Data Services revenue across all lines of business. They will become proficient across all products and services.
• This particular territory is heavily weighted toward our Connectivity business and this position will require experience within the connectivity financial vertical.
• The Relationship Manager will take on a leadership role in the coordination of internal resources to ensure the successful execution of client initiatives and problem resolution.
• Performance will be measured as a function of quantitative measures based on revenue retention. They will also be measured against qualitative goals such as proactive client engagement and overall client satisfaction.

Knowledge and Experience

• 5+ years of experience working within the financial services industry, with at least three years of account relationship experience.
• Proactive individuals who are detail oriented, comfortable serving as a project coordinator, and who will be a strong customer advocate are highly desired for this position.
• Overall industry knowledge and professional demeanor combined with the knowledge of ICE Data Services products and services is a must.
• Knowledge of networks, connectivity, direct market access and real-time consolidated feeds is a must for this position.
• Strong written and verbal communication skills and the ability to interact with senior management internally and externally are critical.
• This position demands an individual who enjoys the challenge of working with large, complex and potentially demanding clients that expect high levels of service, professionalism and expertise.
• Bachelor’s degree is required.

Responsibilities

• Team Leadership & Management

• • Lead, mentor, and manage a team of ServiceNow developers.
  • Foster a collaborative and high-performance team culture.
  • Conduct weekly 1-on-1s, annual performance reviews, and support career development.
  • Manage JIRA stories and sprints to meet specified release dates.

• Development Strategy & Governance

• • Define and maintain the ServiceNow development roadmap aligned with business goals.
  • Establish and enforce development standards, best practices, and governance processes.
  • Ensure compliance with security, privacy, and regulatory requirements.

• Solution Delivery

• • Oversee the design and development of configuration changes to ServiceNow modules (e.g., ITSM, ITOM, HRSD, CSM, SecOps, SRM, IRM, etc.).
  • Collaborate with business analysts to translate business requirements into scalable solutions.
  • Manage the full software development lifecycle (SDLC) for ServiceNow projects.

• Stakeholder Engagement

• • Serve as the primary point of contact for ServiceNow-related initiatives.
  • Partner with business units, IT leadership, and vendors to align platform capabilities with organizational needs.
  • Provide regular updates and reporting on project status, risks, and performance metrics.

• Continuous Improvement

• • Drive innovation and continuous improvement of the ServiceNow platform.
  • Stay current with new features, releases, and industry trends.
  • Identify opportunities to automate and optimize business processes.

Knowledge and Experience

• Bachelor’s degree in computer science, Information Systems, or related field.
• ServiceNow Certified System Administrator required.
• ServiceNow Certified Application Developer required.
• ITIL Foundation Certification preferred.
• 5+ years of experience with ServiceNow development and administration.
• 3+ years in a managerial role or previous leadership experience.
• Deep understanding of ServiceNow architecture, scripting (JavaScript, Glide), and APIs.
• Expert experience with ServiceNow modules such as ITSM, ITOM, CMDB, and custom applications.
• Familiarity and working knowledge of Agile/Scrum methodologies and DevOps practices.
• Strong leadership, communication, and interpersonal skills.
• Ability to manage multiple priorities in a fast-paced environment.
• Strategic thinker with a problem-solving mindset.

Job Purpose

Responsible for developing, implementing and ongoing governance of Third-Party Risk Management (TPRM) organizations Program Governance and Quality Assurance functions. This includes but not limited to:

• Standard repeatable process to generate risk-based reporting and analytics.
• Maintain quality assurance and ensure compliance with TPRM program policy and standards.
• Provide guidance, assistance in on-going training and awareness activities across the enterprise.
• Support and assist with all internal and external audit/exam related inquiries.
• Develop and maintain interdepartmental relationships with business partners.

Responsibilities

• Support internal stakeholders prior to onboarding and throughout the third-party life cycle.
• Conduct foundational assessments of new third parties prior to engaging in a contractual relationship.
• Assists and analyzes third party risk and evaluates third party service providers.
• Assists in oversight, reporting, and annual evaluations.
• Determines infrastructure improvements to drive reductions in run rate savings without compromising business strategy.
• Gains understanding of complex supplier pricing models, develop cost analysis, scorecards, and division vendor reports, and helps conduct quarterly business reviews.
• Procures services and materials as directed by and approved through internal channels and policy.
• Assists in the sourcing and operational negotiations and third-party risk reviews as needed.
• Supports contract development, third party risk reviews, and approval process and provides contract information as needed.
• Develops and applies standardized and rigorous approach to financial analysis.
• Develops, implements, monitors, and reports performance measures that demonstrate value and ensure vendor performance.
• Conducts reviews which measure end-user satisfaction, spend and usage trends (historical and projected), prices, quality and service levels, savings, supplier performance metrics, next-generation improvement opportunities, etc.
• Participates in stakeholder interviews to gather information regarding current practices, processes, and behaviors.
• Performs other related duties as assigned.
• Maintain awareness of emerging trends for services provided by various third parties.
• Support ongoing training awareness of industry trends and other related duties.
• May require occasional domestic travel as needed.

Knowledge and Experience

• Bachelor’s degree in Business Administration, Finance, or a related discipline; or the equivalent combination of education, training, and work experience.
• 8+ years of relevant work experience OR at least 5 years in a third-party risk, operational risk, or vendor risk role with experience in offshore vendor management and site assessments and successful completion of tasks in the promotional matrix.
• Requires demonstrated experience leading a team.
• Relevant certifications may also be credited as relevant work experience.
• Previous working knowledge of relevant legal and regulatory requirements, such as but not limited to
  • SEC, FINRA, CFTC, FDIC (Bonds Market)
  • Bank Of England (BOE)
  • Financial Conduct Authority (FCA)
  • European Securities and Market Authority (ESMA)

Preferred

• Certification such as, CISA, CISM, CISSP, CTPRP etc.
• Experience with the following tools: ServiceNow, ProcessUnity, Oracle, UpGuard, Supplier.IO
• Business Acumen in Capital Markets, Exchanges, Clearing Houses, and/or Corporate Fixed Income.
• Requires extensive knowledge of risk methodologies and techniques.
• Excellent analytical, decision-making, and problem-solving skills.
• Ability to persuade, negotiate and influence others to get buy-in and support.
• Knowledge of ICE business environment and the ability to evaluate risk implications inherent in new product and market development.
• Experience of working with a diverse range of data sources/streams and managing these effectively.
• Experience identifying due diligence requirements.
• Experience planning vendor engagements and overseeing and monitoring activities.
• Experience reporting vendor status.
• Experience with strategic sourcing activities.
• Excellent analytical, decision-making and problem-solving skills.
• Ability to develop relationships with business units, especially as it relates to operations and technology.
• Excellent verbal and written communication skills to technical and non-technical audiences of various levels within ICE or outside the organization (executives, regulators, clients, etc.).
• Ability to provide information to a wide variety of audiences regardless of topic and effectively deal with issues that are confidential and sensitive in nature.