Regulations and Business Compliance Manager
London Stock Exchange Group
London, UK
Published today
Business Compliance
Full time
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 over 60 countries across EMEA, North America, Latin America and Asia Pacific. We employ 25,000 people globally, more than half located in Asia Pacific.
Our People:
People are at the heart of what we do and drive the success of our business. Our values of Integrity, Partnership, Excellence and Change 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 over 60 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.
Regulations and Business Compliance Manager
The Regulations and Business Compliance Manager will be responsible for ensuring compliance with rules and regulations framework across the FTSE Russell business. This will involve working with stakeholders across the business to define and implement the relevant rules and regulations requirements. This role sits within the Regulations and Business Compliance team, reporting to the Head of Governance and Risk.
About the Policy and Governance Team
The Regulations and Business Compliance team is a first line function that supports the critical frameworks our business relies on and provides oversight, from Index Policy, Governance and Risk, to Regulatory and Business Compliance, Outsourcing and Incident Management. Our purpose is to drive greater coverage, consistency, and efficiency across FTSE Russell given the increasing focus on our regulatory obligations, the requirement to enhance our risk management capabilities, and the need to ensure change programmes support the evolution of our benchmarks to meet market requirements.
Primary Responsibilities
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.
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 over 60 countries across EMEA, North America, Latin America and Asia Pacific. We employ 25,000 people globally, more than half located in Asia Pacific.
Our People:
People are at the heart of what we do and drive the success of our business. Our values of Integrity, Partnership, Excellence and Change 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 over 60 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.
Regulations and Business Compliance Manager
The Regulations and Business Compliance Manager will be responsible for ensuring compliance with rules and regulations framework across the FTSE Russell business. This will involve working with stakeholders across the business to define and implement the relevant rules and regulations requirements. This role sits within the Regulations and Business Compliance team, reporting to the Head of Governance and Risk.
About the Policy and Governance Team
The Regulations and Business Compliance team is a first line function that supports the critical frameworks our business relies on and provides oversight, from Index Policy, Governance and Risk, to Regulatory and Business Compliance, Outsourcing and Incident Management. Our purpose is to drive greater coverage, consistency, and efficiency across FTSE Russell given the increasing focus on our regulatory obligations, the requirement to enhance our risk management capabilities, and the need to ensure change programmes support the evolution of our benchmarks to meet market requirements.
Primary Responsibilities
- Accountable for monitoring regulatory developments that impact indices.
- Articulate remedial actions following a gap analysis of regulatory requirements.
- Monitor and track the progress of remedial action plans. Liaises with second line Risk and Compliance functions on the appropriateness of standards implemented by the business.
- Develop and maintain policy documentation and materials to improve regulatory and governance improvements, tracking through to implementation.
- Prepare regular reports and provide updates to the Index Governance Board, the Index Management Board and other governance bodies regarding changes to the regulatory landscape, the exposure of the business and actions taken to manage the risk within LSEG's risk framework.
- Answer questions from regulators about the index business including consultations, which are typically put together in cooperation with other teams within LSEG.
- Provide educational workshops about the index business to regulators and other stakeholders.
- Review regulatory elements of the training material provided by FTSE Russell's Compliance Team.
- Support internal and external audits and address any residual risks emerging from findings.
- Ensure compliance with the BMR through the review of benchmark statements.
- A deep understanding of regulatory developments within financial services is essential
- Experience working with stakeholders to achieve required outcome
- Experience of financial indices is highly desirable
- Experience in delivering regulatory projects
- Strong track record of delivering successful projects and initiatives in a large, high-profile, and complex global organizations
- Experience working in a high-pressured, time-sensitive environment
- Ability to work effectively with a broad range of stakeholders and lead change.
- Strong influencing skills across both business and technology
- Ability to think strategically and creatively, strong analytical and problem-solving skills
- Strong influencing skills across both business and technology
- Well organised with strong verbal and written communication skills
- Team player
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.