Netherlands Job Openings
Intercontinental Exchange Holdings, Inc.
Director, Regulation and Compliance
Amsterdam
FULL TIME
December 3, 2024
The Head of Regulation & Compliance serves as “Chief Regulatory Officer” for ICE Endex Holding B.V. and ICE Endex Markets BV, (collectively “ICE Endex”).
The Head of Regulation & Compliance is member of the exchange leadership team and plays an active role in the growth and development of the exchange, keeping abreast of the regulatory landscape ICE Endex operates in, operating a framework that assures compliance with regulatory obligations and overseeing compliance of the exchange rules.
Responsibilities
- Establishing an excellent customer service relationship with exchange members.
- Assuring that the exchange operates fair, orderly, and transparent markets.
- Assuring exchange rules and procedures are adhered to.
- Work with the Management Board to establish, maintain and operate a framework which will keep the exchange at the forefront of global best practice.
- Member application review (due diligence process) - to organize independent vetting of membership applications to ensure admitted members satisfy admission criteria, including AML/KYC.
- Member supervision - this involves organizing both offsite reviews and onsite inspections. Offsite reviews are performed on the periodical submissions by members to ensure they continue to meet capital and financial requirements as well as review of Members’ self-assessment reports. Member notifications, enquiries or clarifications on rules, and applications for approvals under the rules, are processed by the Regulation & Compliance team. Onsite inspections are conducted to assess members’ ongoing compliance with rules and the adequacy of their system of internal controls and management oversight. Member supervision also covers the registration process of members’ representatives that they are fit and proper.
- Market surveillance - to participate in surveillance activities through the Market Conduct Committee and the Market Surveillance Committee.
- Enforcement: this involves the disciplinary proceedings against members.
- Oversee the performance of relevant (intra-group) exchange’s outsourced service providers, including reporting to appropriate governance committees.
- Working with colleagues within the ICE group to design, develop and implement enhancements to policies, systems and processes, with the goal of delivering a ‘best-in-class’ services.
- Playing a key role in ensuring ICE Endex meets the recognition requirements within the Netherlands and external jurisdictions. This includes anticipating upcoming regulation and influencing the shape of new regulation.
- Monitor regulatory developments, provides regulatory advice on meeting new compliance requirements, and coordinates responses to consultation papers
- Be the central liaison with regulators, coordinate and respond to regulatory queries
- Maintain a relationship with related regulatory bodies as required
- Maintain a comprehensive compliance monitoring and assurance program
- Ensure timely submission of various regulatory returns
- Ensure all necessary regulatory approvals/notifications are obtained/made (e.g. for products, rule changes, key appointments, etc.)
- Manage any regulatory inspections
- Co-ordinate compliance reporting to head office
- Educated to degree level or equivalent
- Broad experience in exchange regulation or equivalent
- In-depth knowledge of derivatives
- Excellent verbal and written communication skills.
- Demonstrated initiative, strong organisational skills, and teamwork orientation
- Strong attention to detail
- Excellent problem-solving skills
- Proven ability to build and manage commercial and strategic relationships with customers, regulators and internal groups
This role offers work from home flexibility of one day per week.
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