Senior Manager, Central Compliance (fixed-term contract)

at  LSEG London Stock Exchange Group

Role Profile
The role, (“the role”) will sit within the Central Compliance team, within LSEG Legal and Compliance.
The role will focus on providing compliance and regulatory subject matter expertise within Central Compliance’s Individual Accountability, Policy and Licensing team. This will include oversight of the team’s implementation of the regulation automation and control mapping project (“the project”), collaborating closely with Divisional Compliance globally. The role reports into the Director, Central Compliance Individual Accountability, Policy and Licensing team.
Key Responsibilities:
A. Compliance SME support and oversight for regulatory tool project

The role will be responsible for providing compliance and regulatory subject matter expertise, collaborating closely with the Divisional Compliance teams. This includes:

• Crafting the initial tables of regulations and policies applicable to each regulated entity, from existing sources, with reference to the entity’s compliance obligations and applicable regulations;
• Reviewing these tables with Divisional Compliance and other required partners, and resolving any exceptions;
• Supporting with the configuration of the LSEG instance of the third party tool;
• Collaborating with the tool provider to provide training on the tool to Compliance colleagues and other relevant partners;
• Collaborating with Divisional Compliance and the tool provider to agree appropriate Management Information to ensure LSEG and its regulated entities continue to meet regulatory requirements;
• Detailing the project’s key processes and controls created, to meet risk and compliance requirements, and coordinating appropriate Compliance governance approvals for the procedures.
• Subject to capacity and timelines, the role may also be required to contribute, as the Compliance representative, to the integration and mapping of the configured data into the LSEG Governance, Risk and Compliance (GRC) platform.

B. The role is also required to support the Director, on other Central Compliance regulatory matters and projects.
Key Behaviours
Compliance & Regulatory expertise:

Have a strong understanding of:

• the structure of regulatory frameworks and how they apply to regulated entities,
• compliance obligations and registers for regulated entities;
• the importance of risk and compliance principles.

Experience as a Senior Manager within financial services compliance, preferably within an advisory team, with a focus on equities, fixed income and/or FX.
Communication: Strong oral and written communication skills, to collaborate with partners and to tailor messages to a variety of audiences. Experience presenting on, and agreeing regulatory requirements crucial. Experience in compliance or regulatory project management desirable but not crucial.
Motivation & Flexibility: Able to operate independently, prioritise own workload, and deliver to timelines; comfortable in a fast paced environment which may require assumption of additional tasks at short notice; willingness to dedicate requisite effort to ensure activities are completed on time and to the quality required; pro-active and able to demonstrate initiative.
Collaborator Management: Able to balance the needs of partners and lead expectations with respect to delivery of implementation achievements and confident in engaging with relevant collaborators.
Collaboration: Able to work as part of a close-knit team; willing to share information and ideas proactively.
Key Skills
Degree level education or equivalent experience.
Experience in Financial Services Compliance essential.
Experience working with a GRC tool useful but not essential.
Proficient in use of MS Office, specifically Outlook, Word, Excel, Visio and PowerPoint.
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.
Please take a moment to read this
privacy notice
carefully, as it describes what personal information London Stock Exchange Group (LSEG) (we) may hold about you, what it’s used for, and how it’s obtained,
your rights and how to contact us as a data subject
.
If you are submitting as a Recruitment Agency Partner, it is essential and your responsibility to ensure that candidates applying to LSEG are aware of this privacy notice

• Crafting the initial tables of regulations and policies applicable to each regulated entity, from existing sources, with reference to the entity’s compliance obligations and applicable regulations;
• Reviewing these tables with Divisional Compliance and other required partners, and resolving any exceptions;
• Supporting with the configuration of the LSEG instance of the third party tool;
• Collaborating with the tool provider to provide training on the tool to Compliance colleagues and other relevant partners;
• Collaborating with Divisional Compliance and the tool provider to agree appropriate Management Information to ensure LSEG and its regulated entities continue to meet regulatory requirements;
• Detailing the project’s key processes and controls created, to meet risk and compliance requirements, and coordinating appropriate Compliance governance approvals for the procedures.
• Subject to capacity and timelines, the role may also be required to contribute, as the Compliance representative, to the integration and mapping of the configured data into the LSEG Governance, Risk and Compliance (GRC) platform