Director, Issue, Audit & Regulatory Governance

ACCA Careers; London; Hybrid; GBP 80,000 - 120,000; Full time

Job summary

A leading global financial markets infrastructure provider seeks a Director for Issue, Audit & Regulatory Governance. This pivotal role involves overseeing internal and external audits, ensuring compliance with regulations, and fostering a positive risk culture across technology teams. The successful candidate will lead a team, develop governance processes, and engage with internal and external stakeholders to drive effective risk management practices.

Benefits

Healthcare

Retirement Planning

Paid Volunteering Days

Wellbeing Initiatives

Qualifications

• Strong understanding of technology and cyber security controls.
• Ability to communicate with clarity and precision.
• Logical mindset with attention to detail.

Responsibilities

• Develop and oversee procedures for technology-related issues and audits.
• Lead a team to ensure action plans address root causes.
• Govern and track all Self-Identified Issues and action plans.

Skills

Analytical Skills

Communication

Relationship Building

Technical Writing

Interpersonal Skills

Job description

Director, Issue, Audit & Regulatory Governance

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Director, Issue, Audit & Regulatory Governance

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About Us

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 dedication 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.

About Us

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 dedication 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.

Our People

People are at the heart of what we do and drive the success of our business. Our culture of connecting, creating opportunity and delivering excellence shape how we think, how we do things and how we help our people fulfil their potential. We embrace diversity and actively seek to attract individuals with unique backgrounds and perspectives. We break down barriers and encourage teamwork, enabling innovation and rapid development of solutions that make a difference. Our workplace generates an enriching and rewarding experience for our people and customers alike. Our vision is to build an inclusive culture in which everyone feels encouraged to fulfil their potential.

We know that real personal growth cannot be achieved by simply climbing a career ladder - which is why we encourage and enable a wealth of avenues and interesting opportunities for everyone to broaden and deepen their skills and expertise. As a global organisation spanning 70 countries and one rooted in a culture of growth, opportunity, diversity and innovation, LSEG is a place where everyone can grow, develop and fulfil your potential with meaningful careers.

Role Profile

A strategically important role, required to develop, govern, embed and operate capabilities to oversee Internal Audits, External Audits, Self-Identified Issues, regulatory examinations and associated action plans to ensure mature risk management practices and compliance with regulations.

Role Summary

• This is a key role, required to lead the development and implementation of capabilities to oversee Internal Audits, External Audits, Self-Identified Issues, regulatory examinations and associated action plans to ensure mature risk management practices and compliance with regulations. By enhancing existing capabilities and implementing new procedures across the wider Engineering division, this role will ensure a common, consistent and comprehensive management of risk and compliance.
• This role is a key component in helping to drive a positive risk culture across LSEGs technology engineers by implementing end-to-end processes and procedures to ensure control gaps, audit and regulatory findings are adequately and consistently assessed, prioritised and remediated in a timely manner.
• This role requires a highly organised, methodical, logical and precise mindset with attention to detail in order to drive the development of cohesive and comprehensive action plans and responses to audits and examinations, in addition to documenting governance processes and procedures.
  
  

WHAT YOU'LL BE DOING:

• Develop, implement, operate, embed, maintain and oversee procedures to govern and oversee technology-related issues, audit and regulatory findings.
• Leading a team to review and quality assure all Self-Identified Issues (SIIs) across all CIO divisions to ensure action plans are appropriately designed to address root cause.
• Govern, track and report on all SIIs and associated action plans to ensure action plans and SII remediation remains on track.
• Lead a team to validate the closure of SIIs and associated actions plans to ensure root cause has been addressed.
• Lead the central coordination, oversight and tracking of both Internal and External (e.g. statutory financial) audits including central coordination in pre-audit, tracking audit deliverables during field work, QA and challenge of draft findings, partnering with SMEs to draft responses and action plans.
• Oversee Audit Issue and Action Plan Closure Validation to ensure actions plans have fully delivered on objectives and the finding has been fully addressed so that findings are not re-opened.
• Represent Engineering to both internal and external stakeholders.
• Own strategic relationships and innovate partnerships with both internal and external audit teams.
• Develop and run the Engineering Exceptions & Risk Acceptance process, ensuing robust governance over risk acceptance. Includes reporting at divisional levels feeding into risk profiles.
• Oversight and coordination of regulatory-led assessments, examinations & enquiries, centrally across all Engineering divisions.
• Build and maintain central Engineering & Cyber external standardised responses register.
• Maintain Regulatory Obligations Register.
• Monitor and report compliance with regulations.
• Present updates and reporting to senior leadership, providing details around impacts to the organisation and solutions where required.
• Governance and oversight of Client Audits and other Non-Standard Due-Diligence requests - e.g. TLPT
• Governance and Oversight of other External / Customer-Contractual / Legal / Regulator-Driven Assessments (e.g. ISO 27001, SOC2)
• Provide thought leadership to the strategy and development of Engineering GRC products and services.
• Build, lead, mentor and develop a high-performing team of GRC professionals with diverse skill sets to drive outstanding performance.
  
  

WHAT YOU'LL BRING:

• A strong and demonstrable understanding of technology and cyber security controls.
• A strong understanding of Technology and Cyber Security control frameworks.
• The ability to communicate with clarity and precision.
• A strong ability to analyse and evaluate facts and information in order to form a sound judgement and determine course of action.
• The ability to think strategically and understand the broader impacts of decision making and actions for the organisation.
• A logical and methodical mindset with the ability to understand a wide range of technical control objectives and translate them into easy to understand, responses to audits and examinations.
• Strong relationship-building skills and the ability quickly develop a good rapport with both internal and external stakeholders.
• Excellent technical writing skills.
• Excellent and proven written and verbal presentation skills.
• Excellent interpersonal and influencing skills.
  
  

WHAT YOU'LL GET IN RETURN:

• This is a high-impact, high-profile role that will deliver critical capability in the management of technology and cyber security risks and controls.
• This role is an opportunity to build new, as well as develop and strengthen existing GRC capabilities to positively influence risk culture across the whole of LSEG.
• This role will have significant exposure to senior technology leadership through risk and control governance forums and through the highly-visible reporting to audit and regulatory oversight committees.
  
  

We recognise that to attract the best talent, we need to be flexible and we are open to discussing work arrangements with you. We take hybrid approach to workplace, this role is Blended, requiring time in the office as well as giving flexibility to work remotely.

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, 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.

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.

Seniority level

• Seniority level

  Director

Employment type

• Employment type

  Full-time

Job function

• Job function

  Accounting/Auditing and Finance

• Industries

  Accounting

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