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Compliance Manager

Closing date
3 Jun 2022

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Contract Type
Full Time
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Role Purpose

Supporting Investment Solutions Compliance team in delivering effective second line oversight of the Business, providing SME advice to the Business on Compliance related matters and in maintaining Compliance with the relevant regulations, including the UK Benchmark Regulation.

Role Responsibilities

This role is part of the Investment Solutions Compliance team (within the London Stock Exchange Group's Data and Analytics division), focusing on, but not limited to the regulatory compliance with the UK Benchmark Regulation. The Compliance team advises the Business on the regulatory compliance matters related to the day-to-day Business operations and strategic Business initiatives across the different jurisdictions, oversees regulated index business activities of FTSE Russell and Refinitiv index administrators from the second line perspective, provides the relevant education and training, manages regulatory interactions, reports and notifications and assesses and responds to the ongoing regulatory changes. In doing so, it collaborates closely with other regional and global compliance teams within the London Stock Exchange Group.

The Compliance Manager will be responsible for supporting the following activities:
  • Regulatory interactions: managing ongoing relationship with the FCA and other regulators, where applicable, including regulatory notifications and responses to regulatory enquiries.
  • Analysis and advice: Reviewing and responding to the day-to-day Business enquiries, providing quality SME advice on regulatory compliance matters, providing appropriate level of challenge and maintaining constructive relationship with the Business.
  • Regulatory projects: Leading on regulatory implementation projects from the Compliance perspective, including assessing regulatory requirements, advising on the implementation approach proposed by the Business and taking a lead on the project implementation tasks, where Compliance leads the regulatory change projects, by performing them directly or with support from the other Compliance team members.
  • Monitoring and assurance: Performing ad hoc risk-based compliance reviews and reviewing remediation plans prepared by the Business.
  • Governance and reporting: supporting and managing the operation of governance forums run by Compliance and representing Compliance in the first line governance forums, advising the Business on key decisions from the second line perspective.
  • Training: Developing and maintaining training materials and delivering ad hoc compliance training to the relevant staff members on new initiatives as and when required.

Minimum Requirements
  • 5+ years of experience in Compliance, Risk, Consulting or Audit roles, with a good understanding of the compliance issues impacting financial services
  • Knowledge of regulations relating to the financial services industry; knowledge of and experience with respect to EU/UK Benchmark Regulation would be an advantage
  • Ability to take a risk-based lens to issues, think critically and ask difficult questions
  • Ability to work with colleagues effectively at all levels
  • Sound organisational and time management skills
  • Self-motivated and ambitious individual with strong communication skills
  • Ability to work under tight deadlines and to prioritise under pressure

At LSEG, we believe that creating a diverse and inclusive organisation is fundamental to the way we deliver on our promise - and our purpose. You'll be part of an organisation of over 25,000 people, spanning 70 countries. We recognise the individual perspectives each of our colleagues brings, and our diverse workforce is one of our greatest strengths. In supporting collaboration and creativity and encouraging new ideas across a diverse and inclusive workforce, we can improve how we are driving financial stability, empowering economies and enabling customers to create sustainable growth.

LSEG offers a range of tailored benefits and support from healthcare and retirement planning to paid volunteering days and wellbeing initiatives.

We are an equal opportunities employer. We do not discriminate on the basis of race, religion, colour, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.

Please take a moment to read this privacy notice carefully, as it describes what personal information the 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.
  • Location: London, United Kingdom
  • Type: Full time
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