Manager, Risk, Controls and Compliance

Responsibilities:  

Driving the culture of Risk & Controls within Operations.  Given the size of Operations this role will need to co-ordinate with a set of risk managers/champions in each of the individual functions in order to complete these activities

General, strategic, and culture

Supporting 1LOD on risk matters impacting the strategic objectives of the business, providing challenge from a semi-independent viewpoint within 1LOD

Communicating policy changes and supporting Policy Owners and Responsible Executives in completing annual corporate certification

Promoting Risk Culture in 1LOD, including provision of risk education/training in conjunction with 2LOD

Control Assurance

Perform Design Effectiveness Assessment (DEA) of end-to-end processes Ensure that changes identified in the walkthroughs are documented, implemented and monitor progress

Produce and/or review control artefacts (e.g. risk and control matrices, process narratives)

Design and deliver workshops/trainings which are focused in enhancing risk and controls understanding across 1LoD

Find opportunities to enhance the control environment either through automation or stopping non-value add activities

Partner with 1LoD in developing remediation plan for any design gaps/ control deficiencies and support in assessing impact of any control deficiency

Ensure control issues are logged into central GRC tool (e.g. MetricStream, SAP GRC)

Support in the annual scoping and risk assessment exercise

Support external audit around control assurance efforts

Collaborate with 2LoD and 3LoD on key initiatives and/or any ongoing assurance efforts

Contribute in designing controls, Supporting and providing guidance on controls, and providing control framework feedback.

Qualifications:

•  Degree or equivalent and / or relevant professional qualification.
• Knowledge of internal control design assessments including documenting processes and identifying potential risk or control gaps.
• Ability to adapt to change and multi-task in a dynamic environment.
• Ability to understand complex issues outside their experience and expertise and facilitate resolution across multiple functions/managing across boundaries is essential
• Experience of managing and reviewing Associate team members
• Demonstrate ability to take initiative and drive projects to completion.
• Capable of working independently with little guidance.
• University (equivalent) degree and CA/ACCA (equivalent).
• Strong oral and written communication skills with the ability to interact with peers and management globally.
• Strong command of Office applications.

Preferred:

• Experience working in financial organization in Risk related roles
• Familiarity with GRC tools (ORMC, MetricStream, SAP GRC)
• Experience in/working knowledge of IT Automated Controls
• Experience of CCM

Experience level:

• 7+ years audit, risk and controls assessment experience preferably with US listed companies (i.e. SOX audits)

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.

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