Job Title: Chief Compliance Officer and Director of Legal, ICE Clear .
Job Responsibilities:
- Direct the execution of the clearing house compliance and risk assessment programs.
- Oversee compliance, testing, monitoring, surveillance, and adherence to all relevant and applicable laws and regulations.
- Develop and deliver compliance training to educate clearing house staff on relevant regulations, policies, and procedures.
- Engage with regulators, primarily the CFTC, ensuring all filings, reporting, and other obligations are discharged.
- Prepare management information demonstrating continued compliance for the management team, board, and committees.
- Implement and deliver regulatory control requirements, including supervision of clearing members and others as directed.
- Establish standards and implement procedures to ensure compliance.
- Lead regulatory examinations and respond to regulatory inquiries and findings.
- Collaborate with the ., Head of Legal, US Futures & Clearing, and executive team to develop and execute the company’s legal strategy.
- Provide advice on a wide range of legal matters, including corporate governance, derivatives regulation, and compliance.
- Oversee corporate governance practices, including board of director and committee activities, policies, and reporting obligations.
- Oversee and execute preparation, organization, filing, and negotiation of a wide range of regulatory filings and registrations.
- Oversee and execute drafting, negotiation, and management of key financial markets contracts.
- Assist with monitoring industry regulatory developments.
- Other duties as assigned.
Education and Experience Information:
- Bachelor’s Degree, JD, and . Bar Admission required.
- 5-10 years of derivatives legal and compliance experience, with significant time spent in a corporate legal department, financial market infrastructure legal department, regulatory agency, or law firm.
- Work experience required with a clearing house, exchange, brokerage, regulatory agency, bank, trade association, or other financial services company or law firm.
- Excellent verbal and written communication and documentation skills.
- Self-motivated with the ability to multi-task and work independently with confidential and sensitive information.
- Derivatives, swaps, futures, or securities experience required.
- Previous experience in liaising with regulatory authorities or within a regulatory authority preferred.
Salary Information:
- The expected base salary for this role, if located in New York, is between 210,000 - 270,000 USD. The base salary range does not include the company's incentive compensation.
- Compensation is based on the skillset and experience of the individual.
- Regular full-time employees are eligible for competitive employee benefits, including healthcare coverage (medical, dental, and vision), a 401(k) plan, life insurance, time off, and paid leave for qualifying circumstances.
Legal Terminology and Other Information:
- The position involves ensuring adherence to relevant laws, regulations, and internal policies, and managing legal risks.
- The role requires oversight of legal and regulatory matters such as corporate governance, maintenance of rules, policies, and procedures, and communication with clearing participants and board members.
- The company is an Equal Opportunity Employer, and all qualified applicants will receive consideration for employment without regard to legally protected characteristics.
