Head of Equities Compliance

at  LSEG London Stock Exchange Group

About us:
LSEG (London Stock Exchange Group) is more than a diversified global financial markets infrastructure and data business. We are dedicated, open-access partners with a commitment to excellence in delivering the services our customers expect from us. With extensive experience, deep knowledge and worldwide presence across financial markets, we enable businesses and economies around the world to fund innovation, manage risk and create jobs. It’s how we’ve contributed to supporting the financial stability and growth of communities and economies globally for more than 300 years!
Through a comprehensive suite of trusted financial market infrastructure services – and our open-access model – we provide the flexibility, stability and trust that enable our customers to pursue their ambitions with confidence and clarity.
LSEG is headquartered in the United Kingdom, with significant operations in 70 countries across EMEA, North America, Latin America and Asia Pacific. We employ 25,000 people globally, more than half located in Asia Pacific. LSEG’s ticker symbol is LSEG.
Our people:
People are at the heart of what we do and drive the success of our business. Our culture of connecting, creating opportunity and delivering excellence shape how we think, how we do things and how we help our people fulfil their potential.
We embrace diversity and actively seek to attract individuals with unique backgrounds and perspectives. We break down barriers and encourage teamwork, enabling innovation and rapid development of solutions that make a difference. Our workplace generates an enriching and rewarding experience for our people and customers alike. Our vision is to build an inclusive culture in which everyone feels encouraged to fulfil their potential.
As a global organisation spanning 70 countries and one rooted in a culture of growth, opportunity, diversity and innovation, LSEG is a place where everyone can grow, develop and fulfil your potential with meaningful careers.
The role is for the Head of Equities Compliance for the global Digital and Securities Markets (“DSM”) business in the Markets division of the London Stock Exchange Group (“LSEG”). DSM includes the equities businesses of LSEG, namely London Stock Exchange plc (“LSE”) and Turquoise, and the private market’s business, as well as the developing digital market’s business.
The successful candidate will lead a team of Compliance professionals providing first class regulatory guidance and advice to ensure that our regulated activities are conducted in compliance with regulatory expectations. The role will work alongside the business leadership team and within the broader Legal and Compliance division, reporting to the Head of Compliance, Capital Markets.

Responsibilities

• Leading, developing and coaching the Equities Compliance team to deliver against its objectives.
• Acting as the senior point of contact for regulatory and compliance matters relating to the business, including the operation of Recognised Investment Exchanges and regulated trading venues.
• Timely identification, analysis and communication of regulatory developments or matters arising to enable the effective management of their impact within DSM.
• Providing expert compliance advisory and assurance services to the regulated businesses/legal entities, including reporting to the Boards and Risk Committees, and keeping divisional senior management accurately apprised, as required.
• Develop and maintain a co-operative relationship with key internal and external partners including the other control functions (Risk, Legal, Internal Audit) and all relevant regulatory bodies.
• Responsibility for developing, implementing and maintaining the Compliance programme for the business, including oversight and approval of policies and procedures, horizon scanning, periodic risk assessment and MI reporting.
• Working closely with the broader business global compliance teams to ensure complete delivery of compliance framework and solutions.

Skills and experience

• Experience in equities advisory Compliance is required, bringing personal credibility, expertise, gravitas and a track record of working globally.
• Be a strategic thinker with strong problem-solving capabilities together with an ability to work with business and functional colleagues.
• Experience in being a people leader, with a proactive and considered approach to people management and leadership skills.
• Strong understanding of the UK and EU regulatory environment, including current and developing regulatory landscape, preferably with experience from within an exchange, trading venue, investment bank or other regulated financial institution, or experience gained at one of our primary regulators.
• Detailed knowledge and understanding of regulated activity, in particular the UK and EU regulatory framework.
• Excellent business engagement with demonstrable experience of providing expert advice to senior partners on a wide range of regulatory issues. Experience of presenting at Board level desirable.
• Strong decision making and organisational skills to manage a dynamic, constantly evolving workflow.
• Ability to influence decision making and practical implementation of regulatory strategies and practices

LSEG is a leading global financial markets infrastructure and data provider. Our purpose is driving financial stability, empowering economies and enabling customers to create sustainable growth.
Our purpose is the foundation on which our culture is built. Our values of Integrity, Partnership, Excellence and Change underpin our purpose and set the standard for everything we do, every day. They go to the heart of who we are and guide our decision making and everyday actions.
Working with us means that you will be part of a dynamic organisation of 25,000 people across 65 countries. However, we will value your individuality and enable you to bring your true self to work so you can help enrich our diverse workforce. You will be part of a collaborative and creative culture where we encourage new ideas and are committed to sustainability across our global business. You will experience the critical role we have in helping to re-engineer the financial ecosystem to support and drive sustainable economic growth. Together, we are aiming to achieve this growth by accelerating the just transition to net zero, enabling growth of the green economy and creating inclusive economic opportunity.
LSEG offers a range of tailored benefits and support, including healthcare, retirement planning, paid volunteering days and wellbeing initiatives.
We are proud to be an equal opportunities employer. This means that we do not discriminate on the basis of anyone’s race, religion, colour, national origin, gender, sexual orientation, gender identity, gender expression, age, marital status, veteran status, pregnancy or disability, or any other basis protected under applicable law. Conforming with applicable law, we can reasonably accommodate applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs.
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• Leading, developing and coaching the Equities Compliance team to deliver against its objectives.
• Acting as the senior point of contact for regulatory and compliance matters relating to the business, including the operation of Recognised Investment Exchanges and regulated trading venues.
• Timely identification, analysis and communication of regulatory developments or matters arising to enable the effective management of their impact within DSM.
• Providing expert compliance advisory and assurance services to the regulated businesses/legal entities, including reporting to the Boards and Risk Committees, and keeping divisional senior management accurately apprised, as required.
• Develop and maintain a co-operative relationship with key internal and external partners including the other control functions (Risk, Legal, Internal Audit) and all relevant regulatory bodies.
• Responsibility for developing, implementing and maintaining the Compliance programme for the business, including oversight and approval of policies and procedures, horizon scanning, periodic risk assessment and MI reporting.
• Working closely with the broader business global compliance teams to ensure complete delivery of compliance framework and solutions