Associate Manager, Capital Markets Compliance
Associate Manager, Capital Markets Compliance
Apply locations London, United Kingdom
Time type: Full time
Posted on: Posted 2 Days Ago
Job requisition id: R0099360
Role Profile
An exciting opportunity exists for an Associate Manager to join the Capital Markets Compliance team (CMC) of the London Stock Exchange Group (LSEG). CMC provides compliance and advisory support to the Equities and FX Trading businesses within the Markets division of LSEG, providing oversight, guidance, and challenge to ensure a robust compliance framework is maintained.
The role will be based in London, working with the global CMC team. Primary responsibilities will cover the London Stock Exchange and Turquoise entities based in the UK and the Netherlands, with some team-wide responsibilities that also cover the global FX entities offering trading venue services from Singapore, US, UK, and Ireland.
The successful candidate will provide advice and guidance on the application of the rules and regulatory requirements that apply to the businesses that CMC supports, in the context of business initiatives, new developments, or regulatory change. They will assist with periodic assurance reviews and ensure appropriate processes and controls are maintained to meet the regulatory requirements. They will assist the CMC team and the business through their ownership of various other cross-team responsibilities.
Responsibilities
* Provide timely and accurate input/advice to the supported businesses on regulatory projects and business initiatives, including new instrument screening.
* Own regulatory reporting calendars, compliance procedures, and the production of management information and other reports such as horizon scanning.
* Coordinate and support the wider CMC team, including with horizon scanning activities, rules mapping, and risk assessments.
* Support the delivery of Compliance assurance reviews, both required under the regulatory obligations of the business and identified through risk-based assessments.
* Ensure compliance with license obligations through ensuring notification and filing requirements are met and liaison with both domestic and overseas regulators, including through scheduled meetings and responding promptly to questions or requests.
* Assist the businesses in developing commercial projects from a regulatory perspective, including obtaining regulatory permissions and licenses where required.
Key Behaviours, Skills, and Experience
* Graduate level education with financial services experience, preferably gained in Capital Markets Compliance.
* Effective communicator with excellent written and verbal communication skills.
* A pragmatic problem solver who works collaboratively with the business and other control functions.
* Good analytical skills, preferably with experience of regulatory interpretation.
* Good organisational skills with the ability to progress issues on a timely basis, be flexible, and prioritise workflows.
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.
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.
Please take a moment to read this privacy notice carefully, as it describes what personal information London Stock Exchange Group (LSEG) 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.
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