Lead Auditor - Market Data Compliance and Assurance Lead Auditor - Market Data Compliance and  …

in London, United Kingdom
Permanent, Full time
Last application, 25 Oct 21
in London, United Kingdom
Permanent, Full time
Last application, 25 Oct 21
Lead Auditor - Market Data Compliance and Assurance
CME Group is the world's leading and most diverse derivatives marketplace. But who we are goes deeper than that. Here, you can impact markets worldwide. Transform industries. And build a career shaping tomorrow. We invest in your success and you own it, all while working alongside a team of leading experts who inspire you in ways big and small. Joining our company gives you the opportunity to make a difference in global financial markets every day, whether you work on our industry-leading technology and risk management services, our benchmark products or in a corporate services area that helps us serve our customers better. We're small enough for you and your contributions to be known. But big enough for your ideas to make an impact. The pace is dynamic, the work is unlike any other firm in the business, and the possibilities are endless. Problem solvers, difference makers, trailblazers. Those are our people. And we're looking for more.

To learn more about what a career at CME Group can offer you, visit us at www.wherefuturesaremade.com .

The CME's Market Data Compliance and Assurance team is essential to the global governance of the CME's growing commercial market data business. At the heart of this role is the opportunity to work with CME's diverse market data customer base to ensure our clients have the correct controls and licensing in place to facilitate their business. The Lead Auditor role is responsible for the execution of market data audits spanning the CME Group's customer base to ensure CME Group's Market Data and Derived Data policies are understood and are being managed correctly. The successful candidate will have a strong ability to build rapport with customers from across the globe, be comfortable in articulating the expectations around control of data, and grow customer understanding of managing CME Group market data effectively. The ability to deploy and develop best practice guidelines in the conduct of customer audits will be key to the success of this role - so attention to detail, experience of conducting audits, building relationships with customers, and presenting solutions are the core skills we are looking for to join our successful team.

Principle Accountabilities:
  • Execute a program of customer compliance and auditing to minimise future risk for clients and protect the value of CME Group's market data.
  • Effectively research and prepare for customer audits, collating all of the appropriate materials to inform the audit visit
  • Communicate with audited firms to clearly articulate expected collaboration, materials required and to manage both expectations and timeframes efficiently. and commercial policy/licensing opportunities
  • Perform both on-site and remote market data audits, analysing all applications and systems related to market data consumption, investigating and analysing inventory management and permissioning systems to ensure CME has a comprehensive and complete overview of a firm's market data consumption
  • Provide clear written and verbal insight and analysis of findings to auditee and Data Services management, with analysis of findings and recommendations on future customer compliance focus and all and any compliance exposure
  • Work with and develop relationships with clients, team members, and other internal CME stakeholders, on a global basis to promote and support compliance with policies and ensure effective audit processes with minimum disruption to customers
  • Effectively initiate, progress and conclude all aspects of the audit lifecycle to ensure that both individual and group metrics are achieved.

Skills and Software Requirements:
  • Knowledge of vendor and third party application providers' products and Market Data Systems management/permissioning systems (Thomson Reuters DACS, Wombat, Bloomberg B-Pipe, etc.)
  • Knowledge of third party market data inventory systems (MDM, Info match etc.)
    Advanced knowledge of Microsoft Office with emphasis on high degree of proficiency in Excel including the use of financial formulas, data analysis and pivot table features is a must. Proficiency in Salesforce helpful.
    Financial Information Associate (FIA) certification or CPA welcomed
  • Experience in delivering and communicating formal findings to external client stakeholders at all levels.
  • Proven experience of analysing and interpreting client records pertaining to the access of market data and to identify possible inconsistencies or deficiencies and the necessary corrective action requiring client implementation.
  • Ability to work efficiently and pragmatically through a programme of audits, annually, identifying methods of reducing barriers to the progression and conclusion of each specific review.
  • Ability to plan and manage all client requirements, including on-site and/or virtual workflow and application demonstrations.

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