Manager, Central Compliance

Role Profile

The Compliance Monitoring & Assurance team forms part of the Central Compliance function and centrally oversees and undertakes monitoring and assurance activities across London Stock Exchange Group (LSEG).  The Manager role will focus on assurance activities in accordance with prescribed Compliance Assurance methodology.

Key Responsibilities

This role reports into the Senior Manager responsible for the Compliance Assurance Plan and will:

• Support on the development and execution of the annual Compliance Assurance Plan (CAP), ensuring that all relevant requirements/regulations are met.
• Drive the delivery of assurance reviews that provide risk and control insight through the identification of findings or examples of best practice.
• Communicate to relevant stakeholders (control owners) on the design and operational effectiveness of controls and/or outcomes within their area of oversight.
• Clearly articulate and document findings including the issue itself, impact to the business and root cause.
• Escalate significant issues identified in a timely manner.
• Track remedial actions identified in the course of reviews performed to resolution.

Key Behaviours

Communication: strong oral and written communication skills; ability to input into Compliance Assurance reports and to tailor messages to a variety of audiences. Experience in communicating and agreeing findings with the business.

Motivation & Flexibility: able to operate independently, reprioritise own workload as necessary, and deliver to tight deadlines; comfortable in a fast-moving environment which may require assumption of additional tasks outside key areas of responsibility at short notice; willingness to dedicate requisite effort to ensure assurance activities are completed on time and to the quality required; pro-active and able to demonstrate initiative.

Stakeholder Management: able to balance the needs of stakeholders and manage expectations with respect to delivery of assurance reviews and confident in engaging with relevant stakeholders.

Documentation: able to document workpapers to a high standard and in line with prescribed methodology to ensure that they are re-performable and provide clear rationales/supporting evidence for conclusions reached.

Teamwork: able to work as part of a close-knit team; willing to share information and ideas proactively.

Project Management: Being proactive to ensure the review is delivered within the planned timescale and acting immediately to resolve blockers and escalating issues accordingly which could put review timescales at risk.

Professional Scepticism: Investigative skills and the ability to demonstrate professional scepticism to appropriately identify areas of regulatory non-compliance and corresponding root causes and themes.  

Key Skills

Degree level education or equivalent.

Experience of working within Financial Services Compliance

Experience of performing assurance reviews in a Compliance, Internal Audit or Risk function is essential.

Proficient in use of MS Office, specifically Outlook, Word, Excel, Visio and PowerPoint.

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. You will be part of a collaborative and creative culture where we encourage new ideas and are committed to sustainability across our global business. You will experience the critical role we have in helping to re-engineer the financial ecosystem to support and drive sustainable economic growth. Together, we are aiming to achieve this growth by accelerating the just transition to net zero, enabling growth of the green economy and creating inclusive economic opportunity.

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

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.

Please take a moment to read this privacy notice carefully, as it describes what personal information London Stock Exchange Group (LSEG) (we) may hold about you, what it’s used for, and how it’s obtained, your rights and how to contact us as a data subject.

If you are submitting as a Recruitment Agency Partner, it is essential and your responsibility to ensure that candidates applying to LSEG are aware of this privacy notice.