Assistant Manager (Market Compliance) - London Stock Exchange Group

ZipRecruiter; London; On-site; GBP 45,000 - 70,000; Full time

Job summary

Join a dynamic compliance team as an Assistant Manager, supporting the securities and FX businesses of a leading global financial markets infrastructure provider. This role involves ensuring a robust compliance framework, guiding regulatory projects, and maintaining relationships with regulatory authorities. You'll work collaboratively to tackle compliance challenges, conduct assurance reviews, and support the development of commercial projects. Be part of a diverse organization committed to sustainability and innovation, where your contributions will drive financial stability and economic growth. This is an exciting opportunity to make a meaningful impact in a fast-paced environment.

Benefits

Healthcare

Retirement planning

Paid volunteering days

Wellbeing initiatives

Qualifications

• Relevant compliance experience in financial services, preferably in Capital Markets.
• Strong understanding of AML legal and regulatory requirements.

Responsibilities

• Provide guidance on regulatory requirements and compliance procedures.
• Conduct assurance reviews and manage regulatory relationships.

Skills

Compliance experience

Financial services knowledge

Analytical skills

Communication skills

Problem-solving

Organizational skills

Team collaboration

AML knowledge

Job description

Job Description

Role Profile

An opportunity exists to join the Markets Compliance team as an Assistant Manager. The team supports the securities and FX businesses of London Stock Exchange Group (LSEG), providing oversight, guidance, and challenge to ensure a robust compliance framework is maintained at all times. The team establish and maintain compliance procedures, seek to educate staff to make sure we operate within regulatory frameworks, and develop relationships with regulators to provide a key two-way communication channel with the business.

The successful candidate will provide guidance on the application of the rules and regulatory requirements that apply to the businesses that the team supports, in the context of business initiatives, new developments or regulatory change. They will conduct periodic assurance reviews and provide challenge to the business leads, as required, ensuring appropriate processes and controls are maintained to meet the regulatory requirements. They will also help to maintain the relationship with the regulatory supervisors that have oversight of LSEG's authorised entities, including in the provision of periodic and ad-hoc notifications and reports.

The core focus of the role will be in supporting LSEG's FX regulated entities, primarily the UK and Ireland based Multilateral Trading facilities (MTFs), which are entities regulated by the UK Financial Conduct Authority and the Central Bank of Ireland.

Key Responsibilities

• Provide timely and accurate input/advice to the supported businesses on regulatory projects and FX business initiatives.
• Assist in the delivery of Compliance assurance reviews, both required under the regulatory obligations of the business and identified through risk-based assessments.
• Assist in liaison with the FX businesses regulatory authorities, including through regularly scheduled meetings, responding promptly to questions or requests, and in ensuring the businesses meet their notification requirements.
• Support the businesses in developing commercial projects from a regulatory perspective, including obtaining regulatory permissions and licenses where required.
• Handle the management of regulatory requirements arising from the business and reporting to regulators as appropriate.
• Co-ordinating and supporting the wider team, including with regulatory rules mapping, risk assessments and the production of management information.
• Working closely with the MLRO, providing support in managing Financial Crime Risk.
• Providing support regarding the preparation of Financial Crime Risk/AML/MLRO reports or updates to Boards/Committees
• Supporting the MLRO with communications issued by the Central Bank of Ireland or reporting as required

Key behaviours, skills and experience

• Relevant Compliance or financial services experience, preferably in Capital Markets, and/or FX markets.
• Effective communicator with excellent written and verbal communication skills.
• Pragmatic, hard-working and diligent, a good problem solver who works in a collaborative manner.
• Able to work well with other departments and develop good working relationships across the business at all levels.
• Good analytical skills.
• Good organisational skills with the ability to progress issues on a timely basis, be flexible and prioritise competing workflows.
• Ability to work as part of a close-knit team and proactively share information and ideas.
• Willingness and ability to take on other matters.
• Strong understanding of Irish/EU AML legal and regulatory requirements, ideally with practical knowledge and previous experience of working in this area
• Awareness of the compliance and financial crime risks faced by the company
• FinCrime and Compliance experience
• An understanding of compliance risk (including AML) and the ability to challenge first line controls

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 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, , , , , , , expression, age, marital status, veteran status, or , or any other basis protected under applicable law. Conforming with applicable law, we can reasonably accommodate applicants' and employees' practices and beliefs, as well as mental health or physical 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.