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Chief Compliance Officer - Broker/Dealer

Company: Infinity Consulting Solutions
Location: New York
Posted on: January 16, 2021

Job Description:

ICE seeks a highly skilled compliance professional to serve as the Chief Compliance Officer for ICE Bonds Securities Corporation ("ICE Bonds") our FINRA/MSRB broker-dealer, which operates three alternative trading systems and provides related execution services. The role will be responsible for establishing and maintaining a comprehensive broker-dealer compliance program framework covering all regulated activities. Responsibilities

  • Works to ensure that ICE Bonds has adopted policies and procedures that are reasonably designed to prevent violations of law, that the policies and procedures are adequate to accomplish that purpose and that the policies and procedures are effectively implemented for this purpose.
  • Partners closely with the business, legal and critical partners to analyze compliance risks, to resolve potential compliance issues and to ensure that policies and procedures supporting compliance activities are well developed, maintained and controlled.
  • Manages, coordinates and ensures readiness for regulatory examinations. Acts as a liaison for the examiners, coordinates the gathering and production of requested documentation and meetings.
  • Develops and maintains a broad working knowledge and awareness of current market trends, issues impacting the investment industry relevant to ICE Bonds, as well as regulatory and/or policy changes with potential impact on both ICE Bonds and its customer base, which may in turn require changes to compliance policies, monitoring and reporting requirements.
  • Provides leadership and strategic direction for compliance-related matters. Collaborates with business area leaders supporting compliance activities to sustain and strengthen compliance with FINRA, SEC, MSRB, and other regulatory agencies through the design, implementation and periodic review of the compliance program.
  • Manages compliance team of up to 5 individuals.
  • Provides guidance, training and motivation as necessary to develop staff.
  • Leads, manages and oversees a variety of projects related to compliance activities across ICE Bonds. Handles multiple projects simultaneously from conception through execution and implementation. Coordinates, prioritizes and actively manages tasks as needed to meet project timelines. Leads, plans and facilitates project meetings, communicates with relevant stakeholders, ensures requirements and priorities are understood and monitors and report on progress.
  • Participates in special projects and perform other duties as assigned. Knowledge and Experience
    • Bachelor's degree (advanced degree, such as MBA or JD is preferred)
    • FINRA Series 7, 24 and 53 licenses required (Series 27 and CRCP is preferred)
    • 10+ years of industry experience at a FINRA member
    • Experience with fixed income products, to include government, agency and municipal bonds required (experience with equity securities, to include ETFs is preferred)
    • Knowledge of and experience with FINRA, MSRB and SEC rules
    • Experience with SEC Rule 15c3-5 and Regulation ATS
    • Excellent relationship management and verbal and written communication skills
    • Proven success interacting with senior business leaders
    • Experience in managing external regulatory relationships
    • Excellent planning, analytical and time management skills
    • Demonstrated track record of self-initiated program development and program management
    • Proven project and people management and leadership skills
    • Ability to quickly learn a new regulatory and compliance environment and to lead the development of a new structured compliance program
    • Ability to work independently and autonomously, with a limited amount of direction, yet collaboratively as part of a senior leadership team
    • Familiarity with relevant European regulation, such as MiFID II is preferred 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. Additional Information
      • Job Type: Standard
      • Schedule: Full-time My Profile Create and manage profiles for future opportunities.

Keywords: Infinity Consulting Solutions, New York , Chief Compliance Officer - Broker/Dealer, Sales , New York, New York

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