Chief Compliance Officer and Director of Legal, ICE Clear U.S.

Job Purpose

Responsibilities

• Direct the execution of the clearing house compliance and risk assessment programs.
• Oversee compliance, testing, monitoring, surveillance and adherence to all other 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, and ensuring that all filings, reporting, and other obligations are discharged.
• Prepare management information demonstrating continued compliance, including for the management team, board and committees.
• Take responsibility for the implementation and delivery of regulatory control requirements, including supervision of clearing members and others as directed.
• Responsible for establishing standards and implementing procedures to ensure compliance.
• Lead regulatory examinations and respond to regulatory inquiries and findings.
• Collaborate with the V.P., 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 the preparation, organization, filing and negotiation of a wide range of regulatory filings and registrations.
• Oversee and execute the drafting, negotiation and management of key financial markets contracts.
• Assist with monitoring industry regulatory developments.
• Other duties as assigned.

Knowledge and Experience

• Bachelor's Degree, JD and U.S. Bar Admission.
• 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 with clearing house, exchange, brokerage, regulatory agency, bank, trade association or other financial services company or law firm required.
• Excellent verbal and written communication and documentation skills.
• Self-motivated with 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.

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