- The D&A Compliance Director key responsibilities are to be a business partner, providing guidance and advice to senior management and to protect the D&A business, its products and employees
- This role is responsible for ensuring appropriate policy, processes, systems and structures are in place to manage compliance with D&A’s regulatory obligations
- The role also has responsibility for managing a high performing compliance team and instilling a strong compliance culture within the business and managing, advocating and evolving the relationship with all relevant regulators of D&A
- Enhance and deliver a compliance strategy for the D&A business
- Drive a culture of compliance across the business
- Attend relevant senior business management meetings
- Deliver synergies and positive business impacts, while creating additional team capacity to allow for further scaling as the business grows
- Lead and inspire a strong compliance team to support current and future business needs and build a pipeline of talent
- Build a robust understanding of the combined businesses within D&A’s current portfolio and strategic areas for expansion
- Partner with the business on product developments from the onset to provide an oversight to ensure offering are within regulatory standard methodologies
- As a senior member of the Compliance function, display exemplary leadership skills consistently among the wider team and across the organisation
- Ensure a strong compliance culture through excellent influencing and organisational change
- Demonstrate strong organisational skills in coordinating compliance activities across the Group
- Lead and develop team members proactively and continuously maintaining and developing a high-performance culture
- Build career development opportunities for team members and identify and progress a talent pipeline
- Lead a highly effective Compliance function that is positioned to support the business in ensuring compliance with all key regulatory obligations
- Oversight of multifaceted compliance obligations and regulatory requirements of the business
- Continuously improve the quality, timeliness, accuracy, relevance, content and format of compliance reporting and prepare and deliver appropriate reports for the Senior Management within D&A and the Group
- Continuously develop, enhance, and embed the compliance framework to stay ahead of changing obligations
- Lead the program to respond to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating or recommending the initiation of investigative procedures
- Support the business to achieve growth targets prudently and identify, assess and control compliance related risks prior to material P&L impact
- Review and challenge Senior Management on key operational and strategic decisions that may have a compliance, reputation or risk implication
- Work closely with other key control function including Internal Audit, and Group Risk Management to ensure a comprehensive, effective and streamlined approach to risk management
- Works collegiately with other functions i.e. HR to ensure that a robust compliance education program is in place and delivered on a timely basis
- Engage with regulators as and when required
- Demonstrated experience issue spotting and assessing information for risk mitigation
- Experience managing a team of compliance professionals
- Experience with regulatory communications, e.g., disputes, complaints, audits, etc
- Experience building trust and influencing across sales, technical and non-technical partners at various levels
- Deep knowledge of ESMA and FCA and related laws applicable to consumer reporting agencies
- Communication and presentation skills needed to articulate developments and to conduct effective training8+ years of compliance experience, which should include experience in various phases of building, implementing and improving a compliance program
- Experience effectively prioritising work and meeting timelines
- A detailed understanding of industry standard methodologies
- Particular expertise in managing regulatory change projects
- Experience with the FCA and ESMAData and analytics experience (preferred)
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Compliance Director (D&A) employer: London Stock Exchange
The London Stock Exchange Group is an exceptional employer, offering a dynamic work environment that fosters innovation and collaboration within the Global Security Operations team. Employees benefit from comprehensive professional development opportunities, a strong commitment to work-life balance, and the chance to contribute to cutting-edge cybersecurity initiatives in one of the world's leading financial hubs. Join us to be part of a culture that values expertise and encourages growth while making a meaningful impact in the security landscape.
