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Senior Manager, Central Compliance (fixed-term contract)

  • Job
    Full-time
    Senior & Expert Level
  • Government & Politics
    Legal
  • London
  • Quick Apply

AI generated summary

  • You should have a strong compliance background in financial services, excellent communication skills, ability to manage workload independently, and be a proactive team player.
  • You will ensure compliance by crafting regulations tables, collaborating on tool configuration and training, and supporting governance processes and integration into the GRC platform.

Requirements

  • Have a strong understanding of:
  • the structure of regulatory frameworks and how they apply to regulated entities,
  • compliance obligations and registers for regulated entities;
  • the importance of risk and compliance principles.
  • Experience as a Senior Manager within financial services compliance, preferably within an advisory team, with a focus on equities, fixed income and/or FX.
  • Strong oral and written communication skills, to collaborate with partners and to tailor messages to a variety of audiences. Experience presenting on, and agreeing regulatory requirements crucial. Experience in compliance or regulatory project management desirable but not crucial.
  • Able to operate independently, prioritise own workload, and deliver to timelines; comfortable in a fast paced environment which may require assumption of additional tasks at short notice; willingness to dedicate requisite effort to ensure activities are completed on time and to the quality required; pro-active and able to demonstrate initiative.
  • Able to balance the needs of partners and lead expectations with respect to delivery of implementation achievements and confident in engaging with relevant collaborators.
  • Able to work as part of a close-knit team; willing to share information and ideas proactively.
  • Degree level education or equivalent experience.
  • Experience in Financial Services Compliance essential.
  • Experience working with a GRC tool useful but not essential.
  • Proficient in use of MS Office, specifically Outlook, Word, Excel, Visio and PowerPoint.

Responsibilities

  • The role will be responsible for providing compliance and regulatory subject matter expertise, collaborating closely with the Divisional Compliance teams. This includes:
  • Crafting the initial tables of regulations and policies applicable to each regulated entity, from existing sources, with reference to the entity’s compliance obligations and applicable regulations;
  • Reviewing these tables with Divisional Compliance and other required partners, and resolving any exceptions;
  • Supporting with the configuration of the LSEG instance of the third party tool;
  • Collaborating with the tool provider to provide training on the tool to Compliance colleagues and other relevant partners;
  • Collaborating with Divisional Compliance and the tool provider to agree appropriate Management Information to ensure LSEG and its regulated entities continue to meet regulatory requirements;
  • Detailing the project's key processes and controls created, to meet risk and compliance requirements, and coordinating appropriate Compliance governance approvals for the procedures.
  • Subject to capacity and timelines, the role may also be required to contribute, as the Compliance representative, to the integration and mapping of the configured data into the LSEG Governance, Risk and Compliance (GRC) platform.
  • The role is also required to support the Director, on other Central Compliance regulatory matters and projects.

FAQs

What is the primary focus of the Senior Manager, Central Compliance role?

The primary focus of the role is to provide compliance and regulatory subject matter expertise within Central Compliance’s Individual Accountability, Policy and Licensing team, specifically overseeing the regulation automation and control mapping project.

Who does the Senior Manager report to?

The Senior Manager reports to the Director of the Central Compliance Individual Accountability, Policy and Licensing team.

What key responsibilities does the role entail?

Key responsibilities include providing compliance SME support, collaborating with Divisional Compliance teams, crafting tables of applicable regulations, supporting the configuration of regulatory tools, and collaborating with partners to ensure compliance with regulatory requirements.

What experience is preferred for candidates applying for this position?

Experience as a Senior Manager within financial services compliance is preferred, particularly within an advisory team with a focus on equities, fixed income, and/or FX.

What skills are essential for this role?

Essential skills include a strong understanding of regulatory frameworks, compliance obligations, risk and compliance principles, as well as excellent oral and written communication skills.

Is experience with a Governance, Risk and Compliance (GRC) tool required for this role?

Experience working with a GRC tool is useful but not essential.

What educational background is required for applicants?

A degree level education or equivalent experience is required for applicants.

What type of work environment can candidates expect?

Candidates can expect a fast-paced work environment that values collaboration, creativity, and the sharing of information and ideas.

Are there any benefits associated with this position?

Yes, LSEG offers a range of tailored benefits and support, including healthcare, retirement planning, paid volunteering days, and wellbeing initiatives.

Is LSEG an equal opportunities employer?

Yes, LSEG is proud to be an equal opportunities employer and does not discriminate based on race, religion, color, national origin, gender, sexual orientation, gender identity, age, marital status, veteran status, pregnancy, disability, or any other protected basis.

Finance
Industry
10,001+
Employees

Mission & Purpose

LSEG (London Stock Exchange Group) is a diversified international markets infrastructure business —earning our clients’ trust for over 300 years. That legacy of customer-focused excellence ensures that you can rely on our expertise in capital formation, intellectual property and risk and balance sheet management. As global leaders in financial indexing, benchmarking and analytic services, we offer unrivalled access to international capital markets. Our high-performance technology solutions enable companies worldwide to access funds for growth and development. And with our Data & Analytics, Capital Markets and Post Trade divisions, we provide a comprehensive, integrated suite of trusted financial market infrastructure services that help our customers pursue—and achieve—their ambitions. You can count on our open access model for unparalleled partnership, flexibility, stability, and support across all of our businesses. That’s how we make a difference— ensuring people can meet their potential—worldwide.