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 65 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.
Role Profile
An exciting opportunity exists for an experienced Compliance Senior Manager to join the Capital Markets Compliance team (CMC). CMC supports the Equities Trading businesses at the London Stock Exchange Group (LSEG), providing oversight, guidance and challenge to ensure a robust compliance framework is maintained. The successful candidate will provide advice and guidance on the application of the rules and regulatory requirements that apply to the equities businesses that CMC supports. They will provide challenge to the business leads where necessary, ensuring appropriate processes and controls are maintained to meet regulatory requirements. The core focus of the role will be to support the London Stock Exchange plc (LSE) business, providing advice and guidance as the subject matter expert on the applicable rules and regulatory requirements. The LSE is a Recognised Investment Exchange (RIE") under the supervision of the FCA. The successful candidate will be the primary point of contact with the FCA supervisory team. The role also encompasses responsibility for compliance oversight of LSE's Approved Publication Arrangement, operating as TRADEcho, and RNS, LSE's FCA authorised Primary Information Provider.
Key Responsibilities
- Provide timely and accurate input/advice to the supported businesses on regulatory projects and securities trading initiatives, with particular focus on LSE.
- Lead on the delivery of Compliance assurance reviews, in conjunction with the Assurance team, both required under the regulatory obligations of the business and identified through risk-based assessments.
- Lead liaison with the LSE's regulatory authorities as the primary contact for LSE, including through regular scheduled meetings, responding promptly to questions or requests, and in ensuring the business meets its notification requirements.
- Assist the businesses in developing commercial projects from a regulatory perspective, including obtaining regulatory permissions and licenses where required.
- Assist in the management of regulatory filings and obligations arising from LSE's trading services, including reporting to the FCA and other global regulators as appropriate.
- Co-ordinating and supporting the wider Capital Markets Compliance team as required, including with regulatory horizon scanning, rules mapping, risk assessments and the production of management information.
Key behaviours, skills and experience
- Relevant proven experience, preferably gained in Securities markets Compliance.
- Effective communicator at all levels with excellent written and verbal communication skills.
- Pragmatic and detail-oriented, a good problem solver and able to work in a collaborative manner.
- Able to work well with other departments and develop good working relationships across the business at all levels.
- Good analytical skills.
- Good organisational skills with the ability to progress issues on a timely basis, be flexible and prioritise competing workflows.
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.