Compliance Director (D&A)

London Stock Exchange; Greater London; On-site; GBP 120,000 - 160,000; Full time

Job summary

London Stock Exchange seeks a D&A Compliance Director to partner with senior management, guiding regulatory strategy and protecting the business, products, and employees.

The role ensures policy, processes, and systems meet regulatory obligations, manages a high-performing team, and evolves regulator relationships while guiding product development and risk controls.

Qualifications

• Demonstrated experience in issue spotting and risk mitigation.
• Experience managing a team of compliance professionals.
• Experience with regulatory communications (disputes, audits, etc.).
• Deep knowledge of ESMA and FCA laws applicable to consumer reporting agencies.
• Strong ability to communicate and train across stakeholders.
• 8+ years of compliance experience across building and improving programs.

Responsibilities

• Lead and partner with senior management to ensure regulatory compliance across the D&A business.
• Develop and deliver a compliance strategy aligned with business growth.
• Drive a culture of compliance and maintain relationships with regulators.
• Oversee regulatory reporting quality, timeliness, and accuracy.
• Coordinate with Internal Audit and Group Risk Management on risk controls.
• Mentor and develop the compliance team to build talent pipelines.
• Ensure product developments stay within regulatory standards from inception.
• Engage regulators as required and provide oversight across the organization.

Job description

• 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
• 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
• 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
• 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

• Demonstrated experience issue spotting and assessing information for risk mitigation
• Experience managing a team of compliance professionals
• Experience with regulatory communications, e.g., disputes, complaints, audits, etc
• Experience building trust and influencing across sales, technical and non-technical partners at various levels
• Deep knowledge of ESMA and FCA and related laws applicable to consumer reporting agencies
• Communication and presentation skills needed to articulate developments and to conduct effective training8+ years of compliance experience, which should include experience in various phases of building, implementing and improving a compliance program
• Experience effectively prioritising work and meeting timelines
• A detailed understanding of industry standard methodologies
• Particular expertise in managing regulatory change projects
• Experience with the FCA and ESMAData and analytics experience (preferred)