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. 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 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.
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.
The Role;
The Head of Compliance, FTSE Russell, is a senior leadership position within the Group Legal and Compliance function responsible for providing second line oversight of FTSE Russell's index administration activities, in line with the requirements of the UK Benchmark Regulation and the IOSCO Principles for Financial Benchmarks. The role involves owning the global regulatory Compliance team, maintaining relationships with the FCA and other relevant regulators, and working closely with the CEO and first line Senior Management team, Risk, Legal and other Group functions to provide proactive advice and constructive challenge on how FTSE Russell aligns with relevant regulations, policies and Group frameworks. This role reports into the Divisional Head of Compliance, Data and Analytics, and leads on:
- Leading a high performing team of Compliance SMEs of different seniority levels, encouraging talent, and providing opportunities for growth and development.
- Compliance advisory to the LSEG's FTSE Russell business, working with the CEO and heads of Business functions to provide advice on compliance with the existing regulations and evolving new regulations applicable to indices and ESG products, as well as new product launches and changes to internal operational frameworks.
- Building and managing relationships with the FCA supervision team and other regulatory authorities in the UK and abroad, providing advice and direction on addressing regulatory enquiries and proactively engaging with regulators with regards to key matters and significant developments.
- Developing and maintaining regulatory compliance frameworks, compliance monitoring programmes and conducting thematic reviews of existing first line processes and controls to identify and recommend potential enhancements.
- Representing Compliance in complex cross-divisional programmes and governance forums.
Key Responsibilities:
- Leading a global team of regulatory compliance SMEs.
- Provision of Compliance advisory and training to the Business.
- Applying ongoing second line oversight over critical business activities.
- Key regulator liaison, including being the first point of contact for the FCA supervision team, advising the Business on regulatory notifications and addressing regulatory enquiries, both ad hoc and thematic reviews.
- Proactive identification and assessment of regulatory change and advice on implementation of regulatory requirements.
- Regulatory analysis of incidents and complaints.
- Preparation and execution of the annual Compliance assurance plan and Compliance risk assessment, including reporting of periodic management information (MI).
- Actively participating, by providing constructive review and challenge, in the first line governance forums and chairing the second line Oversight Committee; reporting to the Board of Directors of the regulated entity.
- Compliance coverage of the growing Sustainable Finance and Investment business, including ESG scores and data.
Skills / Experience:
- Extensive experience in Compliance Advisory.
- In depth knowledge of regulatory requirements related to Index Administration.
- Experience in embedding compliance frameworks in large organisations.
- Significant leadership and managerial experience with developing and leading a successful team that is globally distributed and resilient.
- Strong stakeholder management skills, with the credibility, expertise and gravitas to influence at the senior management level.
- Sound judgement with experience of balancing challenging factors to deliver optimal outcomes.
- Experience of establishing and maintaining good relationships with regulators in multiple jurisdictions.
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 collab