At a Glance
- Tasks: Lead compliance advisory support for innovative financial projects at LSEG.
- Company: Join the London Stock Exchange Group, a global leader in financial markets.
- Benefits: Enjoy tailored benefits, healthcare, and paid volunteering days.
- Other info: Be part of a diverse team committed to sustainability and community support.
- Why this job: Make a real impact in a dynamic environment focused on innovation and growth.
- Qualifications: Proven experience in compliance, excellent communication, and analytical skills required.
The predicted salary is between 60000 - 80000 € per year.
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 commitment 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.
Our People are at the heart of what we do and drive the success of our business. Our culture of connecting, creating opportunity and delivering excellence 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.
An exciting opportunity exists for an experienced Compliance Senior Manager to join the Data & Analy (D&A) Compliance team within LSEG, to lead on 2nd line compliance advisory support to the D&A business with specific lead 2nd line compliance responsibility to the TORA business.
Purpose of the role
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.
What you'll be doing
- 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.
What you'll bring
- Relevant proven experience, preferably gained in OTC markets Compliance.
- 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.
LSEG offers a range of tailored benefits and support, including healthcare, retirement planning, paid volunteering days and wellbeing initiatives.
D&A Compliance Senior Manager - London Stock Exchange Group employer: London Stock Exchange Group
LSEG is an exceptional employer that prioritises the growth and development of its employees within a dynamic and inclusive work culture. With a commitment to innovation and excellence, LSEG offers tailored benefits such as healthcare, retirement planning, and paid volunteering days, ensuring that every team member can thrive both personally and professionally. Located in the heart of London, this role provides a unique opportunity to engage with global financial markets while contributing to meaningful projects that drive economic stability and growth.
Contact Detail:
London Stock Exchange Group Recruiting Team
StudySmarter Expert Advice🤫
We think this is how you could land D&A Compliance Senior Manager - London Stock Exchange Group
✨Tip Number 1
Network like a pro! Reach out to current or former employees at LSEG on LinkedIn. A friendly chat can give you insider info and maybe even a referral, which can really boost your chances.
✨Tip Number 2
Prepare for the interview by researching LSEG's values and recent projects. Show us that you’re not just another candidate; you’re genuinely interested in how you can contribute to our mission of driving financial stability.
✨Tip Number 3
Practice your answers to common compliance-related questions. We want to see how you think on your feet, so consider real-life scenarios where you had to navigate complex regulations.
✨Tip Number 4
Don’t forget to follow up after your interview! A quick thank-you email reiterating your interest in the role can leave a lasting impression and keep you top of mind for the hiring team.
We think you need these skills to ace D&A Compliance Senior Manager - London Stock Exchange Group
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the D&A Compliance Senior Manager role. Highlight relevant experience and skills that align with the job description, especially in compliance and regulatory matters.
Craft a Compelling Cover Letter:Your cover letter should tell us why you're the perfect fit for this role. Share specific examples of your past achievements in compliance and how they relate to the responsibilities outlined in the job description.
Showcase Your Communication Skills:As effective communication is key in this role, ensure your application reflects your ability to convey complex information clearly. Use concise language and structure your application logically.
Apply Through Our Website:We encourage you to apply through our website for a smoother application process. This way, we can easily track your application and get back to you quicker!
How to prepare for a job interview at London Stock Exchange Group
✨Know Your Compliance Stuff
Make sure you brush up on the latest regulations and compliance frameworks relevant to the D&A sector. Being able to discuss specific rules and how they apply to LSEG's operations will show that you're not just familiar with compliance, but that you can also provide valuable insights.
✨Showcase Your Stakeholder Skills
Since this role involves engaging with various stakeholders, prepare examples of how you've successfully managed relationships in the past. Think about times when you had to communicate complex compliance issues clearly and effectively to different audiences.
✨Be Ready for Scenario Questions
Expect questions that put you in hypothetical situations related to compliance challenges. Practice articulating your thought process and decision-making skills in these scenarios, as it will demonstrate your problem-solving abilities and pragmatic approach.
✨Align with LSEG's Values
Familiarise yourself with LSEG's core values: Integrity, Partnership, Excellence, and Change. Be prepared to discuss how your personal values align with these and how you can contribute to fostering a culture of growth and innovation within the team.
