Associate, Central Compliance

2 weeks ago

London, United Kingdom LSEG (London Stock Exchange Group) Full time

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 commitment 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 25,000 people globally, more than half located in Asia Pacific. LSEG’s ticker symbol is LSEG.

The Associate, Central Compliance will play an important role in promoting the Company’s strong culture of ethics and compliance.

This position will require strong stakeholder management given the regular contact with Central Compliance colleagues, Divisional Legal and Compliance teams, People Function and employees across the Group, often at very senior levels. The focus of the role will be to work with the Senior Manager, Central Compliance to execute the established framework for the Senior Manager & Certifications Regime (SMCR), as well as other Individual Accountability (IA) regimes globally, and to support the wider Central Compliance team as required, including oversight of the compliance policy calendar.

This role will be based in London and will report to the Senior Compliance Manager, Central Compliance.

Key Responsibilities:

- Provide support to the Senior Compliance Manager with respect to the day-to-day management of the IA Framework:

- Assisting with the Fit and Proper annual assessment process
- Completing certification of newly identified individuals
- Reconciling internal records in Workday to FCA Directory and Central Compliance system
- Drafting and maintaining procedures relating to the IA Framework and use of the Central Compliance system
- Compiling Management Information for inclusion in quarterly Board papers
- Working with the People Function to ensure screening required for fit and proper assessments is progressing and completed in a timely fashion.
- Respond to routine requests relating to SMCR/IA.
- Oversight of the annual Compliance policy calendar.
- Supporting others on the Central Compliance team as required.

Key behaviours, skills and experience required to be successful in the role:

- Bachelor’s degree or equivalent
- One to two years of demonstrable experience, working within Financial Services within Compliance, Risk, or Operations.
- Experience in Central Compliance/Employee Compliance supporting the administration of SMCR desirable but not required.
- Technologically proficient in the use of Microsoft Excel and PowerPoint
- Strong organisation and time management skills with the ability to work on multiple issues simultaneously.
- Ability to prioritise tasks/projects based on level of risk.
- Strong interpersonal skills and the ability to build strong relationships with key stakeholders inside and outside of Compliance.
- Ability to work independently and as part of a team, in a fast-paced work environment.

The following skills would be an advantage:

- Compliance certification/qualification.

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. 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 wellbein

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