The posting
ABOUT US:
LSEG (London Stock Exchange Group) is more than a diversified global financial markets infrastructure and data business. We are dedicated, open-access partners with a dedication to excellence in delivering the services our customers expect from us. With extensive experience, deep knowledge and worldwide presence across financial markets, we enable businesses and economies around the world to fund innovation, manage risk and create jobs. It’s how we’ve contributed to supporting the financial stability and growth of communities and economies globally for more than 300 years. Through a comprehensive suite of trusted financial market infrastructure services – and our open-access model – we provide the flexibility, stability and trust that enable our customers to pursue their ambitions with confidence and clarity.
LSEG is headquartered in the United Kingdom, with significant operations in 70 countries across EMEA, North America, Latin America and Asia Pacific. We employ 26,000 people globally, more than half located in Asia Pacific. LSEG’s ticker symbol is LSEG.
OUR PEOPLE:
People are at the heart of what we do and drive the success of our business. Our culture of connecting, creating opportunity and delivering excellence shape how we think, how we do things and how we help our people fulfil their potential. We embrace diversity and actively seek to attract individuals with unique backgrounds and perspectives. We break down barriers and encourage teamwork, enabling innovation and rapid development of solutions that make a difference. Our workplace generates an enriching and rewarding experience for our people and customers alike. Our vision is to build an inclusive culture in which everyone feels encouraged to fulfil their potential.
We know that real personal growth cannot be achieved by simply climbing a career ladder – which is why we encourage and enable a wealth of avenues and interesting opportunities for everyone to broaden and deepen their skills and expertise. As a global organisation spanning 70 countries and one rooted in a culture of growth, opportunity, diversity and innovation, LSEG is a place where everyone can grow, develop and fulfil your potential with meaningful careers!!
ROLE SUMMARY:
The Compliance Manager provides compliance advice, challenge and support across LSEG’s regulated businesses and legal entities, with a particular focus on Private Markets, including private funds and the London Stock Exchange’s (LSE) Private Securities Market (PSM), a PISCES.
As the Compliance Manager you will work closely with the business on both established activities and new initiatives, helping stakeholders navigate regulatory requirements, assess the impact of change and deliver appropriate outcomes. The role combines day-to-day advisory coverage with responsibility for broader horizon scanning, governance and regulatory engagement.
LSEG’s Digital and Securities Markets (DSM) business includes public markets, including the LSE and Turquoise trading venues, as well as private markets and digital markets businesses. Reporting to a Senior Manager within the DSM Compliance team, the Compliance Manager will act as a key Compliance partner to the private markets businesses, provide practical and timely advice on regulatory requirements, business initiatives and day-to-day matters, and will lead the team’s cross-cutting regulatory change activities alongside other responsibilities.
Role Responsibilities & Key Accountabilities
- Acts as a Compliance partner, providing practical and timely advice on regulatory requirements, supervisory expectations, and regulatory change implications.
- Takes ownership of core compliance activities across these areas, ensuring regulatory obligations, governance processes and BAU are optimally managed.
- Provides compliance advice on new business proposals, products, services and changes to existing processes, identifying regulatory considerations early and working with team members to identify solutions.
- Builds positive relationships across the business and control functions, providing challenge while applying good judgement and a commercial understanding of the issues involved.
- Supports engagement with regulators, including preparing submissions, briefings and responses to queries, and helping colleagues navigate regulatory interactions.
- Leads the DSM Compliance regulatory horizon-scanning function, coordinating inputs, assessing developments and presenting updates and emerging themes internally.
- Leads and supports regulatory change impact assessments, including cross-cutting developments, working with collaborators to understand business impacts, and support effective implementation.
- Maintains and develops compliance policies, procedures, risk assessments, rules mapping and governance documentation.
- Supports new jurisdiction Compliance assessments.
- Briefs senior DSM Compliance management on regulatory developments, business initiatives, emerging risks and matters requiring intervention.
- Contributes to the wider DSM Compliance function, providing broader coverage and supporting priorities across the team where required.
WHAT YOU'LL BRING:
- Previous experience within financial services compliance, ideally within capital markets, primary markets, private markets, investment funds or a regulated market / trading venue environment.
- Detailed knowledge of the UK regulatory framework, with the ability to interpret requirements and translate them into practical advice.
- Able to work independently, take ownership of areas of responsibility and exercise sound judgement.
- Strong stakeholder-management skills, with the confidence to advise, influence and constructively challenge colleagues at different levels of seniority.
- Strong written and verbal communication skills, including the ability to distil sophisticated issues into practical messages.
- Strong interpersonal skills, with the ability to lead established responsibilities alongside change, new initiatives and emerging issues.
- Comfortable working across multiple workstreams and priorities in a fast-moving environment.
- Collaborative approach, with the ability to work across multiple internal functions.
Career Stage:
Manager
LSEG unlocks the power of markets to create opportunities across the global economy.
Through our connected network of market infrastructure, data and analytics, we help customers access capital, manage risk and make confident decisions.
Our insights bring clarity to complex markets, and our trusted services ensure resilience and stability. With deep expertise and global scale, we partner with customers to drive innovation and shape the future of finance.
Few organisations operate at the scale, complexity and reach of LSEG. Here, you’ll work alongside experts, be inspired to deliver your best work and help shape what’s next for our business and the global economy.
Guided by our values of Integrity, Partnership, Excellence and Change, we bring together diverse perspectives, encourage fresh thinking, and create an environment where learning never stops.
Join more than 26,000 colleagues across 60 countries, supporting customers in over 170 countries. Alongside flexible ways of working, you'll have access to benefits that support your wellbeing and your future, including 26 weeks' parental leave, healthcare, retirement planning and a wellness allowance. Through the LSEG Foundation and two paid volunteering days each year, you’ll also have opportunities to get involved in your local community and support causes that matter to you.
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.
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