Senior Manager, Central Compliance

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 dedication 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 over 60 countries across EMEA, North America, Latin America and Asia Pacific. We employ 25,000 people globally, more than half located in Asia Pacific.

Our people:

People are at the heart of what we do and drive the success of our business. Our values of Integrity, Partnership, Excellence and Change 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.

A career with LSEG offers you the opportunity to be at the centre of the financial community. As well as competitive salaries and a range of attractive benefits, we maximise each employee’s potential through personal development plans, training, coaching and mentoring.

We know that real personal growth cannot be achieved by simply climbing a career ladder – which is why we encourage and enable a wealth of avenues and interesting opportunities for everyone to broaden and deepen their skills and expertise. As a global organisation spanning over 60 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.

Role Profile

The Compliance Monitoring & Assurance team forms part of the Central Compliance function and centrally oversees and/or undertakes monitoring and assurance activities across London Stock Exchange Group (LSEG). The Senior Manager role will focus on assurance aligned to post trade activities in accordance with prescribed Compliance Assurance methodology.

Assurance will broadly align to the LCH Ltd, LCH SA, LSEG Regulatory Reporting and Post Trade Solutions. LCH is a group of multi-asset clearing houses that provide proven risk management capabilities across a range of asset classes, with clearing houses incorporated in the UK, France, US and additional offices in the APAC region. Regulatory Reporting deliver innovative post trade processing solutions and process more than 13 billion reports annually for global regulations including EMIR, MiFID II and SFTR. Post Trade Solutions offers solutions to streamline operations, reduce risk and improve capital efficiency for customers, through Acadia, SwapAgent and Quantile entities.

Key Responsibilities

This role reports into the Director of Central Compliance who leads on Compliance Monitoring & Assurance and comprises the following:

• Execution of the annual Compliance Assurance Plan (CAP) as directed, ensuring that all relevant requirements/regulations are met.
• Delivery of assurance reviews that provide risk and control insight through the identification of findings.
• Communication to relevant stakeholders on the design and operational effectiveness of controls and/or outcomes within their area of oversight.
• Clear articulation and documentation of findings including the issue itself, impact to the business and root cause.
• Identifying significant deficiencies in a timely manner.
• Tracking to resolution of remedial actions identified in the course of reviews performed.
• Provision of MI to Compliance colleagues, Compliance Senior Leadership team, Risk, Internal Audit teams and LSEG senior management as appropriate to promote understanding of the Compliance Assurance framework across Compliance.

Key Behaviours

Communication: strong oral and written communication skills; ability to author Compliance Assurance reports and tailor messages to a variety of audiences. Experience in communicating and agreeing findings with the business.

Motivation & Flexibility: able to operate independently, reprioritise own workload as necessary, and deliver to tight deadlines; comfortable in a fast-moving environment which may require ownership of additional tasks outside key areas of responsibility 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.

Stakeholder Management: able to balance the needs of stakeholders and manage expectations with respect to delivery of assurance reviews and confident in engaging with relevant stakeholders.

Documentation: able to document workpapers accordingly and in line with prescribed methodology to ensure that they are re-performable and provide clear rationales/evidence for conclusions reached.

Teamwork: able to work as part of a close-knit team; willing to share information and ideas proactively.

Project Management: Being proactive to ensure the review is delivered within the planned timescale and acting immediately to resolve blockers and raising issues accordingly which could put review timescales at risk.

Professional Scepticism: Well-honed investigative skills and the ability to demonstrate professional scepticism to appropriately identify areas of regulatory non-compliance and corresponding root causes and themes.

Key Skills

Degree level education or equivalent.

Extensive experience of working within Financial Services – multi-asset clearing houses experience would be preferable.

Experience of performing assurance reviews in a Compliance, Internal Audit or Risk function is 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.

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