Compliance Assistant Manager - Benchmarks

Job Description

Role PurposeSupporting the Data & Analytics Compliance team in delivering effective second line oversight of the Business, giving expert advice on Compliance related matters and maintaining compliance with the relevant regulations. The role will be focused on the SustainableFinance and Investment business while also supporting FTSE Russell with Benchmark Regulation compliance.InterfacesExternal: interactions with the regulators, such as the Financial Conduct AuthorityInternal: responsible for maintaining relationships with business partners and other Group functions, including collaboration with colleagues from other divisional Compliance teams.AccountabilitiesThis role sits in the Data and Analytics Compliance team, focusing but not limited to the Sustainable Finance and Investment business and its compliance with applicable regulations and codes of conduct. The team also covers FTSE Russell benchmark administrationand its regulatory compliance with benchmark regulations. The team advises the Business on the regulatory compliance matters related to operations and strategic Business initiatives across the different jurisdictions, coordinates regulated business activitiesfrom the second line perspective, provides the relevant education and training, handles regulatory interactions, reports, and notifications, and assesses and responds to the ongoing regulatory changes. In doing so, it collaborates closely with other regionaland global compliance teams within the London Stock Exchange Group.The Compliance Assistant Manager will be responsible for supporting the following activities:

• Regulatory projects: Support regulatory implementation projects from the Compliance perspective, including assessing regulatory requirements, advising on the implementation approach proposed by the Business, and taking a lead on the project implementationtasks, where Compliance leads the regulatory change projects, by performing them directly or with support from the other Compliance team members.
• Regulatory interactions: Supporting the ongoing relationship with regulators, where applicable, including regulatory notifications and responses to regulatory enquiries.
• Analysis and advice: Conducting regulatory analysis of incidents and complaints to provide recommendation related to regulatory notifications; responding to the day-to-day Business enquiries.
• Monitoring and assurance: Contributing to the ad hoc risk-based compliance reviews and reviewing remediation plans prepared by the Business; ongoing operation of the Compliance Monitoring Programme, supervising inputs and preparing Management reports.
• Governance and reporting: Supporting the operation of governance forums run by Compliance and representing Compliance in the first line governance forums.
• Training: Developing and maintaining training materials and delivering ad hoc compliance training to the relevant staff members on new initiatives as and when required.

Personal Qualities& Experience

• Demonstrated ability in Compliance, Risk, Consulting or Audit roles, with a good understanding of issues and regulations impacting financial services.
• Knowledge of financial regulation and experience working in regulated businesses is an advantage.
• Knowledge of Sustainable Finance and Environmental, Social and Governance matters is beneficial.
• Ability to take a risk-based lens to issues, think critically and ask relevant questions with a problem-solving and proactive mentality.
• Ability to work with colleagues effectively at all levels.
• Sound interpersonal and time management skills.
• Self-motivated and ambitious individual with effective communication and problem-solving skills.
• Ability to work independently and prioritise effectively in a fast-paced environment

MeasuresPerformance in this role is measured against accurate, timely and high quality delivery of the core tasks set out above; and the jobholders overall contribution to the Compliance team in terms of partnership, versatility, and upholding the values of thefirm.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 partof 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 sustainableeconomic 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 anyones 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 its used for, and how its 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.