About the role
The D&A Compliance Director key responsibilities are to be a business partner, providing guidance and advice to senior management and to protect the D&A business, its products and employees.
This role is responsible for ensuring appropriate policy, processes, systems and structures are in place to manage compliance with D&A's regulatory obligations. The role also has responsibility for managing a high performing compliance team and instilling a strong compliance culture within the business and managing, advocating and evolving the relationship with all relevant regulators of D&A.
Key Responsibilities:
Strategic
Enhance and deliver a compliance strategy for the D&A business
Drive a culture of compliance across the business
Attend relevant senior business management meetings
Deliver synergies and positive business impacts, while creating additional team capacity to allow for further scaling as the business grows
Lead and inspire a strong compliance team to support current and future business needs and build a pipeline of talent
Build a robust understanding of the combined businesses within D&A's current portfolio and strategic areas for expansion
Partner with the business on product developments from the onset to provide an oversight to ensure offering are within regulatory standard methodologies
Leadership & Team Management
As a senior member of the Compliance function, display exemplary leadership skills consistently among the wider team and across the organisation
Ensure a strong compliance culture through excellent influencing and organisational change
Demonstrate strong organisational skills in coordinating compliance activities across the Group
Lead and develop team members proactively and continuously maintaining and developing a high-performance culture
Build career development opportunities for team members and identify and progress a talent pipeline
Oversight and Advisory
Lead a highly effective Compliance function that is positioned to support the business in ensuring compliance with all key regulatory obligations
Oversight of multifaceted compliance obligations and regulatory requirements of the business
Continuously improve the quality, timeliness, accuracy, relevance, content and format of compliance reporting and prepare and deliver appropriate reports for the Senior Management within D&A and the Group
Continuously develop, enhance, and embed the compliance framework to stay ahead of changing obligations
Lead the program to respond to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating or recommending the initiation of investigative procedures
Support the business to achieve growth targets prudently and identify, assess and control compliance related risks prior to material P&L impact
Review and challenge Senior Management on key operational and strategic decisions that may have a compliance, reputation or risk implication
Work closely with other key control function including Internal Audit, and Group Risk Management to ensure a comprehensive, effective and streamlined approach to risk management
Works collegiately with other functions i.e. HR to ensure that a robust compliance education program is in place and delivered on a timely basis
Engage with regulators as and when required
Minimum qualifications
8+ years of compliance experience, which should include experience in various phases of building, implementing and improving a compliance program.
Deep knowledge of ESMA and FCA and related laws applicable to consumer reporting agencies
Experience with regulatory communications, e.g., disputes, complaints, audits, etc.
Experience managing a team of compliance professionals
A detailed understanding of industry standard methodologies
Experience building trust and influencing across sales, technical and non-technical partners at various levels
Experience effectively prioritising work and meeting timelines
Communication and presentation skills needed to articulate developments and to conduct effective training
Demonstrated experience issue spotting and assessing information for risk mitigation
Preferred qualifications
Particular expertise in managing regulatory change projects
Experience with the FCA and ESMA
Data and analytics experience (preferred)
Career Stage:
Director
London Stock Exchange Group (LSEG) Information:
Join us and be part of a team that values innovation, quality, and continuous improvement. If you're ready to take your career to the next level and make a significant impact, we'd love to hear from you.
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.
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.
You will be part of a collaborative and creative culture where we encourage new ideas. We are committed to sustainability across our global business and we are proud to partner with our customers to help them meet their sustainability objectives. Our charity, the LSEG Foundation provides charitable grants to community groups that help people access economic opportunities and build a secure future with financial independence. Colleagues can get involved through fundraising and volunteering.
LSEG offers a range of tailored benefits and support, including healthcare, retirement planning, paid volunteering days and wellbeing initiatives.
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