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Compliance Analyst
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ICE . Job Purpose Intercontinental Exchange, Inc., a global provider of financial services, is seeking a Compliance Analyst to perform compliance monitoring and other compliance-related functions for various regulated entities, including ICE Bonds Securities Corporation (an SEC-registered broker-dealer and member of FINRA and MSRB), and Creditex Brokerage LLP (an FCA-regulated investment firm). The role involves reviewing electronic communications for regulatory compliance, assisting with reporting, onboarding, and registration processes. Responsibilities Reporting to the Chief Compliance Officer, responsibilities include monitoring electronic communications, assisting in customer onboarding, reviewing supervisory procedures, managing employee registration and continuing education, and preparing regulatory reports. Knowledge and Experience Requirements include a Bachelor's Degree, preferably experience in fixed income securities or credit default swaps, passing FINRA exams (SIE within 3 months, Series 7 or 99 within 6 months), strong analytical skills, excellent communication, and proficiency in Microsoft Office. Additional Details Position is full-time, in Atlanta, GA, with a salary range of $77,600 - $97,000. The role is not applicable for seniority level designation and falls under the legal job function.
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Compliance Analyst
role at
ICE . Job Purpose Intercontinental Exchange, Inc., a global provider of financial services, is seeking a Compliance Analyst to perform compliance monitoring and other compliance-related functions for various regulated entities, including ICE Bonds Securities Corporation (an SEC-registered broker-dealer and member of FINRA and MSRB), and Creditex Brokerage LLP (an FCA-regulated investment firm). The role involves reviewing electronic communications for regulatory compliance, assisting with reporting, onboarding, and registration processes. Responsibilities Reporting to the Chief Compliance Officer, responsibilities include monitoring electronic communications, assisting in customer onboarding, reviewing supervisory procedures, managing employee registration and continuing education, and preparing regulatory reports. Knowledge and Experience Requirements include a Bachelor's Degree, preferably experience in fixed income securities or credit default swaps, passing FINRA exams (SIE within 3 months, Series 7 or 99 within 6 months), strong analytical skills, excellent communication, and proficiency in Microsoft Office. Additional Details Position is full-time, in Atlanta, GA, with a salary range of $77,600 - $97,000. The role is not applicable for seniority level designation and falls under the legal job function.
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