Assistant Manager - Markets Compliance

Role Profile

An opportunity exists to join the Markets Compliance team (MC) as an Assistant Manager. MC supports the securities and FX businesses of London Stock Exchange Group (LSEG), providing oversight, guidance, and challenge to ensure a robust compliance framework is always maintained. MC establishes and maintains compliance procedures, seeks to educate staff to make sure we operate within our regulatory frameworks, and handle relationships with regulators to provide a key two-way communication channel with the business.

The successful candidate will provide advice and guidance on the application of the rules and regulatory requirements that apply to the businesses that MC supports, in the context of business initiatives, new developments or regulatory change. They will conduct periodic assurance reviews and provide challenge to the business leads where necessary, ensuring appropriate processes and controls are maintained to meet the regulatory requirements. They will also help to maintain the relationship with the regulatory supervisors that have oversight of LSEG's FX regulated entities, including in the provision of periodic and ad-hoc notifications and reports.

The core focus of the role will be in supporting LSEG's FX regulated entities, primarily the LSEG Swap Execution Facility which is supervised by the U.S. Commodity Futures Trading Commission.

Key Responsibilities

• Provide timely and accurate input/advice to the supported businesses on regulatory projects and FX business initiatives.
• Assist in the delivery of Compliance assurance reviews, both required under the regulatory obligations of the business and identified through risk-based assessments.
• Assist in managing liaison with the FX businesses regulatory authorities, including through regularly scheduled meetings, responding promptly to questions or requests, and in ensuring the businesses meet their notification requirements.
• Assist the businesses in developing commercial projects from a regulatory perspective, including obtaining regulatory permissions and licenses where required.
• Assist in the management of regulatory requirements filings and obligations arising from the FX businesses as required in the U.S. and reporting to other global regulators as appropriate.
• Co-ordinating and supporting the wider Markets Compliance team as required, including with regulatory rules' mapping, risk assessments and the production of management information.

Key behaviours, skills and experience

• Bachelor's or equivalent degree with relevant industry experience, preferably in Capital Markets, and/or FX markets.
• Effective communicator at all levels with excellent written and verbal communication skills.
• Pragmatic and meticulous, a good problem solver and able to work in a collaborative manner.
• Hard-working and resilient.
• 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.
• Ability to work as part of a close-knit team and a willingness to share information and ideas proactively.
• Willingness and ability to take on other matters within MC, as the need arises.

Compensation/Benefits Information:

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.