The Assistant Manager, Data & Analytics Compliance will support the Data & Analytics (D&A) Business team as a trusted partner within the London Stock Exchange Group (LSEG). This role will provide guidance and advisory support to the D&A Business and protect the LSEG brand, its products and employees. The D&A Compliance team are part of the wider D&A division as well as members of the LSEG Legal & Compliance department.
The Assistant Manager will ensure appropriate policy, processes, systems and structures are in place to handle compliance with the businesses legal and regulatory obligations. This role will support the D&A Compliance & Legal team through various strategic projects and workstreams which may include but are not limited to: jurisdiction analysis for required licenses, product/service assessment for regulatory scoping, regulatory authorization coordination, documentation of compliance policies and frameworks, regulatory risk management development, and operational resiliency readiness, amongst others.
The primary regulators for the D&A business include the UK Financial Conduct Authority (FCA).
The successful candidate will be a business partner, providing advice regarding emerging business initiatives and regulations that impact LSEG customers. It will require a r proactive person to improve its effectiveness. The successful candidate will need to be an effective communicator, possess strong influencing skills, and enhance the compliance framework and program by introducing approaches to make the role as efficient and effective as possible.
The Assistant Manager will support the following activities:
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Business Relationship: Develop and maintain business relationships across D&A as well as LSEG by providing timely and effective advice and developing the communication channels to ensure a two-way flow of information. Participate in regulatory projects that have a business impact, ensuring that changes are appropriately embedded. Promote compliance and help ensure compliance with policies and procedures.
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Regulatory relationship and reporting: Support relationship management with relevant regulators across the globe, particularly within the UK and EMEA such as FCA/ESMA/CBI, including regulatory ad-hoc notifications, client communications, BAU correspondence, and periodic filings. Maintain relevant regulatory licenses within the relevant jurisdictions and ensure all licensing requirements and obligations are being met.
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Analysis and advice: Provide compliance advisory services to the business, but also valuable challenge & scrutiny, whilst maintaining a “trusted business partner” relationship. Sign off on marketing materials and financial promotion materials, ensuring compliance with local laws and regulations.
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Regulatory strategy and change: Support regulatory change projects, to ensure the design and implementation proposed by the business addresses regulatory risks and obligations, including leading sub-workstreams, where required. Provide input into regulatory horizon scanning, including drafting responses to consultations, and collaborating with Compliance, Legal, Risk and Government Relations teams.
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Governance and Management Information (MI): Prepare concise and effective MI reports, participate in and present at various governance forums and committees, and be empowered to raise risks, issues, or concerns via senior colleagues and forums. Ensure proper governance arrangements are adhered to.
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Policies: Support the management of compliance policies and policy governance. Develop, review, and update the suite of regulatory policies and procedures in line with the LSEG framework, including providing input into business processes. Design, implement and enhance compliance governance and controls working with the Central Compliance team. Implement an effective compliance program for the entities to ensure they are operating in accordance with licensing obligations.
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Controls: Assist in the review that addresses whether Compliance controls are fit for purpose and address regulatory requirements. Assist in documenting the outputs of the assessments and in working with the business on developing remediation plans to mitigate regulatory risks where required.
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Assurance and audits: Enable effective assurance by supporting internal reviews and external audits of the business as the need arises, including inputting to the risk assessment, plan, execution, and remediation of reviews. Assist the business to devise and close out corrective action plans. Participate and assist in the identification of policy breaches and in providing appropriate reporting to management.
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Compliance Monitoring: Support a dynamic compliance environment by assisting in the development and maintenance of a comprehensive compliance monitoring and assurance programme.
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Business and Regulatory integration: liaise with the business and Technology to ensure policies and controls are embedded in relevant workflows.
The Assistant Manager will need the following key behaviours and skills:
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Preferable to have at least 4 years of compliance or relevant risk, regulatory, consulting, or business-related experience, which should include working within a financial infrastructure firm or a financial services firm.
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Candidate should have familiarity with some of the following asset classes: equities, foreign exchange, fixed income, commodities, plus derivatives such as forwards, futures, options, swaps.
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Effective communication and interpersonal skills are crucial, together with the ability to work collaboratively as part of a team, with a real drive to contribute to the business.
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The ability to advise and influence on managing regulatory changes, risks, and incidents; adept at cross functional team collaboration and working in a matrix environment with multiple team members.
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An analytical mind, the ability to solve complex problems and streamline processes.
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Ability to take a risk-based approach to issues, think critically and ask difficult questions.
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Highly organised individual who can manage multiple workstreams across different projects.
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Self-motivated individual with the ability to work under tight timelines, complete effective project management, and prioritise under pressure.
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Experience in drafting policies, conducting regulatory analysis, along with preparing reports for regulatory bodies and internal management.
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Strong MS Office skills.
Career Stage:
Senior Associate
London Stock Exchange Group (LSEG) Information:
Join us and be part of a team that values innovation, quality, and continuous improvement. If you're ready to take your career to the next level and make a significant impact, we'd love to hear from you.
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.
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.
You will be part of a collaborative and creative culture where we encourage new ideas. We are committed to sustainability across our global business and we are proud to partner with our customers to help them meet their sustainability objectives. Our charity, the LSEG Foundation provides charitable grants to community groups that help people access economic opportunities and build a secure future with financial independence. Colleagues can get involved through fundraising and volunteering.
LSEG offers a range of tailored benefits and support, including healthcare, retirement planning, paid volunteering days and wellbeing initiatives.
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