Risk & Regulatory Senior Associate (Financial Services)
2 weeks ago
Senior Associate, Capital Markets Compliance page is loaded Senior Associate, Capital Markets Compliance
Apply locations London, United Kingdom time type Full time posted on Posted Yesterday job requisition id R0085522 Role Profile
An exciting opportunity exists for a Senior Associate to join the Capital Markets Compliance team (CMC) of the London Stock Exchange Group (LSEG). CMC provide compliance and advisory support to the Equities and FX Trading businesses within the Capital Markets division of LSEG, providing oversight, guidance and challenge to ensure a robust compliance framework is maintained.
London Stock Exchange plc is a Recognised Investment Exchange (RIE) supervised by the FCA. Turquoise is majority owned by LSEG in partnership with a number of investment banks. 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 ensuring appropriate processes and controls are maintained to meet the regulatory requirements. Provide timely and accurate input/advice to the supported businesses on regulatory projects and business initiatives, including new instrument screening.
Owning regulatory calendars, compliance procedures and owning the production of management information.
Co-ordinating and supporting the wider CMC team as necessary, including with regulatory 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.
Liaison with both domestic and overseas regulators, including through regular scheduled meetings, responding promptly to questions or requests, and ensuring the business meets its notification and filing requirements.
Assist the businesses in developing commercial projects from a regulatory perspective, including obtaining regulatory permissions and licenses where required.
Graduate level education and relevant industry experience, preferably gained in Securities and/or FX markets Compliance.
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. 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.
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 .
LSEG (London Stock Exchange Group) 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 culture of connecting, creating opportunity and delivering excellence shapes how we think, how we do things and how we help our people fulfil their potential.
Our Data & Analytics, Capital Markets and Post Trade divisions have a combined power that provides a comprehensive, integrated suite of trusted financial market infrastructure services to help our customers pursue their ambitions. LSEG is headquartered in the United Kingdom, with significant operations in 70 countries across Europe, the Middle East, Africa, North America, Latin America and Asia Pacific.
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