At a Glance
- Tasks: Lead compliance oversight and ensure robust frameworks for regulatory requirements.
- Company: Join a leading financial services firm with a focus on innovation.
- Benefits: Competitive salary, flexible working options, and opportunities for professional growth.
- Other info: Dynamic role with excellent career advancement potential in a fast-paced environment.
- Why this job: Make a real impact in compliance while collaborating with diverse teams.
- Qualifications: Proven experience in compliance, strong analytical skills, and effective communication.
The predicted salary is between 70000 - 90000 € per year.
Requirements
- Relevant proven experience, preferably gained in OTC markets
- Effective communicator at all levels with excellent stakeholder management and engagement skills
- Pragmatic and detail-oriented, a good problem solver and able to work in a collaborative and constructive 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
What the job involves
The successful candidate will provide oversight, guidance and challenge to ensure a robust compliance framework is developed and maintained. The successful candidate will also hold the Senior Manager Function (SMF) 16 (Compliance Oversight) position and as such will be responsible for the compliance function in the firm and reporting to the governing body on this.
Reporting to the Head of D&A Compliance, the core focus of the role will be to support the LSEG TORA business, in particular, TORA UK entity’s application to the UK Financial Conduct Authority, providing advice and guidance as the subject matter expert on the applicable rules and regulatory requirements, and ensuring appropriate processes and controls are maintained to meet those requirements.
LSEG TORA intends to operate an FCA-regulated entity in relation to its outsourced trading solution (OTS), namely general arranging, arranging with the view and dealing in investments as agent. The successful candidate may also be required to provide oversight of D&A division, as appropriate and in line with regulatory requirements and expectations.
Provide timely, clear, and accurate regulatory and licensing advice to the D&A business. This includes support for TORA projects, products, and opportunities that align with LSEG’s wider strategic goals. Support and contribute to reporting for TORA UK governance forums, including the Board and senior divisional compliance leadership. Provide guidance on the UK compliance framework for TORA. Deliver compliance assurance reviews for TORA UK in partnership with the Central Compliance Assurance team. Reviews will reflect both regulatory requirements and risk-based assessments.
Represent the compliance function at key internal governance forums. Help ensure risks are identified, escalated, and addressed appropriately. Act as a key point of contact with the FCA. This includes supporting new initiatives and products, responding to regulatory queries, and meeting notification requirements in a timely manner. Support the business on commercial projects from a regulatory perspective, including assisting with regulatory permissions and licences where required. Manage regulatory applications, ongoing filings, and related obligations for TORA UK’s regulated activities. This includes reporting to the FCA and other relevant global regulators. Collaborate with and support the wider D&A Compliance team. Activities may include regulatory horizon scanning, rules mapping, risk assessments, and the preparation of management information.
Data and Analytics Compliance Senior Manager employer: Deepstreamtech
At LSEG TORA, we pride ourselves on being an exceptional employer that fosters a collaborative and inclusive work culture. Our commitment to employee growth is evident through continuous professional development opportunities and a supportive environment where innovative ideas are encouraged. Located in the heart of the UK financial sector, we offer our team members the unique advantage of working alongside industry leaders while ensuring a robust compliance framework that aligns with regulatory standards.
StudySmarter Expert Advice🤫
We think this is how you could land Data and Analytics Compliance Senior Manager
✨Tip Number 1
Network like a pro! Reach out to people in the industry, especially those already working in compliance or analytics. A friendly chat can lead to insider info about job openings that aren’t even advertised yet.
✨Tip Number 2
Prepare for interviews by researching the company and its compliance framework. Show us you know your stuff about the FCA and how it impacts the role. Tailor your answers to highlight your relevant experience and problem-solving skills.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, drop a quick thank-you email to express your appreciation. It keeps you on their radar and shows your enthusiasm for the role.
✨Tip Number 4
Apply through our website! We love seeing applications come directly from candidates who are keen on joining us. Plus, it gives you a better chance to stand out in the crowd.
We think you need these skills to ace Data and Analytics Compliance Senior Manager
Some tips for your application 🫡
Show Off Your Experience:Make sure to highlight your relevant experience, especially in OTC markets compliance. We want to see how your background aligns with the role, so don’t hold back on those details!
Communicate Clearly:Since effective communication is key, ensure your application is well-structured and easy to read. Use clear language and make your points concise – we appreciate a good communicator!
Be Detail-Oriented:We’re looking for someone who’s pragmatic and detail-oriented. When you write your application, pay attention to the little things – typos and formatting can make a big difference!
Apply Through Our Website:Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. We can’t wait to hear from you!
How to prepare for a job interview at Deepstreamtech
✨Know Your Compliance Stuff
Make sure you brush up on the latest regulations and compliance frameworks relevant to OTC markets. Being able to discuss specific rules and how they apply to the role will show that you're not just familiar with the basics, but that you’re genuinely engaged and knowledgeable.
✨Show Off Your Stakeholder Skills
Prepare examples of how you've effectively communicated and managed relationships with stakeholders in previous roles. Think about times when you had to navigate complex situations or differing opinions, and be ready to share those stories during the interview.
✨Demonstrate Your Problem-Solving Ability
Be ready to discuss specific challenges you've faced in compliance roles and how you approached solving them. Use the STAR method (Situation, Task, Action, Result) to structure your answers, highlighting your analytical skills and pragmatic approach.
✨Prioritisation is Key
Since the role involves managing multiple workflows, think of examples where you successfully prioritised tasks under pressure. Be prepared to explain your organisational strategies and how you ensure timely progress on various issues.
