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Core Compliance Manager

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LSEG (London Stock Exchange Group)

Oct 16, 2024

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

AI generated summary

  • You need strong financial compliance experience, relationship-building skills, assurance review expertise, team management ability, excellent communication, and risk-based thinking. Knowledge of Central Counterparty Clearing is a plus.
  • You will coordinate compliance policy reviews, oversee regulatory reporting, manage assurance reviews, develop staff, maintain MI, log incidents, and enhance efficiency through technology solutions.

Requirements

  • Strong experience of managing compliance in the financial sector including application of best practice (covering topics including financial crime, sanctions, confidentiality, conflicts of interest, etc);
  • Proven ability to build and maintain relationships with senior internal partners and with other Compliance staff, and to appreciate and take account of sensitivities that may arise;
  • Experience of leading assurance reviews in the context of regulatory compliance or operational risk;
  • Ability to manage a portfolio of diverse topics and action items, and to develop and effectively direct a team dealing with this work;
  • Strong written and verbal communication skills and attention to detail;
  • Sound organisational and time management skills;
  • Ability to take a risk-based lens to issues, think critically and ask difficult questions;
  • Knowledge of regulations relating to Central Counterparty Clearing would be an advantage;

Responsibilities

  • Coordinate the review of Compliance policies, including LSEG policies, and provide reporting to enable the approvals in accordance with LCH governance requirements (up to the Audit Committee).
  • Oversee the tracking of all regulatory reporting for LCH Ltd and lead delivery of manual reports to regulators.
  • Put in place a control and monitoring framework over all LCH compliance policies. Answer ad-hoc queries on policies and ensure suitable training is delivered.
  • Manage the delivery of Compliance assurance reviews in accordance with the plans agreed by the CCO (and in line with LSEG frameworks), for monitoring and reviewing ongoing compliance with EMIR, CFTC and other relevant regulations. Deliver accurate review reports with specific and achievable actions that are suitable for presentation to LCH Ltd Management Team.
  • Manage and develop the staff operating Compliance owned controls, managing regulatory reporting and supporting self-assessment in relation to internal and external standards.
  • Fulfil responsibilities for team activities including maintenance of monthly MI, logging of incidents, and contribution to the culture and continuous improvement of the Core Compliance team.
  • Investigate and develop new ways of working, using technology solutions to improve operational efficiency.

FAQs

What is the primary role of the Core Compliance Manager?

The primary role of the Core Compliance Manager is to manage policy review and advice for LCH, implement and maintain a compliance control and monitoring framework over compliance policies, manage regulatory reporting, and conduct assurance reviews over business activities.

Who does the Core Compliance Manager report to?

The Core Compliance Manager reports to the LCH Ltd Deputy Chief Compliance Officer.

Where is this position located?

This position is based in the London office.

What are the key responsibilities of the Core Compliance Manager?

Key responsibilities include coordinating compliance policy reviews, overseeing regulatory reporting, implementing a compliance control framework, managing assurance reviews for ongoing compliance, developing staff in compliance controls, and investigating new operational efficiencies through technology.

What experience is required for this role?

Strong experience in managing compliance in the financial sector, proven ability to build relationships with internal partners, experience in leading assurance reviews, strong organizational skills, attention to detail, and knowledge of regulations relating to Central Counterparty Clearing are preferred.

What skills are important for the Core Compliance Manager?

Important skills include strong written and verbal communication, attention to detail, organizational and time management skills, a risk-based approach to issues, critical thinking ability, and a capacity to manage diverse topics and action items.

Is knowledge of specific regulations necessary for this role?

Yes, knowledge of regulations relating to Central Counterparty Clearing would be an advantage.

Does LSEG offer any benefits or support for its employees?

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

What is the company culture like at LSEG?

LSEG promotes a collaborative and creative culture that values individual contributions while encouraging new ideas and a commitment to sustainability across its global business.

Is LSEG an equal opportunities employer?

Yes, LSEG is proud to be an equal opportunities employer and does not discriminate based on race, religion, gender, sexual orientation, age, disability, or any other protected basis.

What should recruitment agency partners do regarding candidate privacy?

Recruitment agency partners must ensure that candidates applying to LSEG are aware of the privacy notice that details how LSEG handles personal information.

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LSEG (London Stock Exchange Group)

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.