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📁
Business Support
📅
19000820 Requisition #
Job Purpose

ICE Data Pricing and Research Data Services, LLC, a subsidiary of Intercontinental Exchange, is an SEC registered adviser.  The ICE Data Pricing & Reference Data business provides global securities pricing, evaluations, and reference data designed to support financial institutions’ and investment funds’ pricing activities, securities operations, research, and portfolio management. We collect, edit, maintain, and deliver data on more than 11 million securities, including daily evaluations for approximately 2.7 million fixed income and international equity issues. We specialize in ‘hard-to-get’ information and evaluate many ‘hard-to value’ instruments.

The Compliance Manager will be responsible for (1) developing and administering key policies and procedures related to investment advisory regulated business activities, (2) advising employees on regulatory and compliance requirements related to securities evaluations, and products and services utilizing securities evaluations, (3) directly monitoring compliance controls relating to the oversight of key business functions including evaluations, information management, vendor management, and other compliance program elements, and (4) participating in  employee compliance oversight to ensure compliance with company policies and regulatory requirements.

Responsibilities
  • Draft and administer policies and procedures for SEC regulations and applicable industry standards, coordinating input from the CCO and other compliance resources as needed
  • Develop and implement guidance and training to ensure employee understanding and compliance with corporate training programs
  • Coordinate control development, oversight, relevant policies and procedures, and perform surveillance on the valuation processes in connection to the company’s requirements as an RIA
  • Participate in the management of compliance programs, including facilitating the risk assessment and annual compliance review, preparing the annual report, establishing and implementing compliance and surveillance processes, testing, and consulting with stakeholders as necessary
  • 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 the annual risk assessment and 206(4)-7 review and lead the report preparation
  • Participate in the preparation and filing of form ADV and 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 internal policies and procedures
  • Analyze and document areas of operations or regulatory concern, gather relevant information, and communicate findings to relevant departments
Knowledge and Experience
  • Bachelor’s degree and 7+ years’ experience with a financial services or technology firm in an operations, risk or compliance position
  • Law degree preferred, but not required
  • Experience with securities operations, financial analysis, project management, and process management (six sigma or similar) is preferred
  • Must have strong knowledge and experience with securities, investment products, pricing, and transactions with an emphasis on fixed income
  • Sound knowledge on SEC advisory rules and regulations including SEC guidance on control oversight practices, 206(4)-7, and training
  • Ability to make independent judgments on key issues and accurately identify risks
  • Strong analytical and organizational skills with acute attention to detail
  • Excellent communication skills
  • Must be results-oriented and self-motivated
  • Ability to work effectively in a fast-paced, sometimes stressful environment



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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