Compliance Analyst

Overview

Job Purpose

Intercontinental Exchange, Inc. (ICE), a global provider of financial services, is seeking a Compliance Analyst to perform compliance monitoring and other compliance related functions for ICE Bonds Securities Corporation (“ICE Bonds”), an SEC-registered broker dealer and a member of FINRA and the MSRB which operates multiple fixed income ATSs and offers related broker dealer services to its institutional customer base. 

The Compliance Analyst will be responsible for the review of electronic communications to ensure compliance with regulations from multiple regulators.  In addition, the Compliance Analyst will be responsible for various compliance functions related to reporting, onboarding and registration.

The Compliance Analyst must be analytical, demonstrate professional accountability, and communicate clearly and concisely.  In order to succeed in this role, the candidate will need to possess the ability to learn quickly and be willing to acquire additional responsibilities.

This position will report to the Chief Compliance Officer of ICE Bonds and responsibilities include, but are not limited to, the following:

Responsibilities

• Monitor electronic communications of covered persons to ensure compliance with company policies and regulatory guidelines.
• Assist in customer onboarding, including the performance of customer due diligence, review of new account documentation and ongoing monitoring of customers in accordance with the firm’s policies and procedures and applicable regulatory requirements.
• Review and completion of various written supervisory procedures related to US broker dealer regulations.
• Review documentation of Financial Crime Enforcement Network (FinCEN) postings.
• Review and monitor approval requests for new personal trading accounts, personal trading, outside activities and business gifts, meals and entertainment for employees of the Firm.
• Assist in the coordination of registration exams and employee registration with relevant regulator(s).
• Manage continuing education for Associated Persons.
• Participate in the preparation of regulatory reports/documents, as applicable.

Knowledge and Experience

• Bachelor’s Degree.
• FINRA Securities Industry Essentials Exam (SIE) and Series 7 or Series 99 - If not already obtained, required to take and pass the FINRA SIE Exam within 3 months of employment and required to take and pass either the FINRA Series 7 or Series 99 within 6 months of employment;
• Strong analytical and organizational skills with acute attention to detail.
• Excellent verbal and written communication skills.
• Self-motivated with ability to multi-task and work independently with confidential and sensitive information.
• Ability to work effectively in a fast-paced, sometimes stressful environment.
• Strong computer skills preferred in Microsoft Office: Word, PowerPoint & Excel.

Preferred Experience  

• Experience in a fixed income securities related business
• FINRA Securities Industry Essentials Exam (SIE) and Series 7 or Series 99 

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