Senior Analyst, Risk and Compliance

LSEG; New York (NY); On-site; USD 72,000 - 120,000; Full time

Benefits offered by this job

Annual Wellness Allowance

Paid time-off

Medical, dental, and vision coverage

401(K) Savings Plan with company match

Commuter assistance

Job summary

London Stock Exchange Group (LSEG) is seeking a Senior Associate to support risk and compliance initiatives within Pricing and Reference Services. You will work with senior risk officers and business managers on risk controls, audit readiness, and issue management.

You will manage data analysis to identify trends, track KRIs/KCIs, and coordinate SOC1 and other audits with internal and external teams. This role emphasizes collaboration, independence, and timely delivery.

Qualifications

• 2+ years of ops risk, compliance, audit or controls experience.

Responsibilities

• Support core risk activities including risk control assessments, issue management, external assurance, control testing, and vendor due diligence.
• Assist in control testing by obtaining evidence and challenging information for design and operating effectiveness.
• Support reporting of KRIs and KCIs to aid risk reporting.
• Analyze data to provide regular reports and recommendations, identifying data quality issues and trends.
• Coordinate SOC1 audits and other audits by liaising with internal and external stakeholders.
• Track audit requests, evidence submissions, recertification activities and due dates with timely follow-up.
• Communicate findings and issues to management across teams, adjusting style by audience.

Skills

Operational risk

Audit experience

Issue management

Data analysis

Stakeholder communication

Independent planning

Collaboration with risk teams

Education

Bachelor's degree in a related field

Tools

MS Excel

PowerPoint

Power BI

SQL

Python

Job description

The senior analyst will be part of the Risk and Compliance team within the Pricing and Reference Services focusing on supporting operational risk, audits, internal controls, issue management, and business continuity initiatives. This role will also collaborate closely with central risk teams within LSEG to ensure the business unit meets LSEG policy requirements and risk initiatives. Additionally, the senior analyst will manage ad-hoc projects and data analysis relating to the quality program. The role is an individual contributor and will partner with senior risk officers and members of the business management team as required.

Role Responsibilitie

• Support all core risk activities, including but not limited to, risk control assessments, issue management, external assurance, control testing, and vendor due diligence, and periodic control recertification activities
• Assist in control testing including obtaining evidence and challenging information provided to support the control design and operating effectiveness
• Support in the reporting of KRIs (Key Risk Indicators) and KCIs (Key Control Indicators) to assist in risk reporting
• Analyze and interpret data to provide regular reports and recommendations to stakeholders, identifying data quality issues, control deviations, trends, and other areas requiring review
• Support the end-to-end delivery of SOC1 audit and other audits by coordinating audit activities across internal stakeholders and external auditors
• Track audit requests, evidence submissions, recertification activities and due dates, ensuring timely follow-up, progress against established deadlines, and escalation where required. Review audit and control evidence for quality and completeness before submission
• Communicate effectively with management and cross-functional stakeholders on findings and ongoing issues, adapting communication style as appropriate to different teams and levels of seniority

Qualification Requirements

• 2+ years of Ops risk, compliance, audit or controls related work in financial services or data vendor
• A bachelor’s degree in a related field or relevant certification with applicable experience
• Knowledge of financial markets data with demonstrated ability to analyze data sets in an efficient and effective manner utilizing standard tools
• Ability to communicate effectively and collaborate with teams across the firm, building productive working relationships across different functions, working styles, and personalities
• Able to work independently to plan and execute on projects, manage multiple priorities and deadlines, and collaborate as part of a team
• Experience with data analysis and visualization tools such as MS Excel, PowerPoint, Power BI or other

Desirable

• Professional certifications such as CISA, CRISC or similar
• Experience in programming in Python, SQL and other data languages preferred; familiarity with AI-enabled tools, automation is a plus
• Previous IT Audit, 2nd line Technology Risk or 1st line technology risk assurance in financial services

Career Stage:

Senior Associate

Compensation/Benefits Information:

LSEG is committed to offering competitive Compensation and Benefits. The anticipated base salary for this position is $71,700 - $119,500.

Please be aware base salary ranges may vary by geographic location, city and state. In addition to our offered base salary, this role is eligible for our Annual Incentive Plan (AIP/"bonus plan"). Target AIP rates will be commensurate with role level and posted career stage. Individual salary will be reflective of job related knowledge, skills and equivalent experience. LSEG roles (excluding internships and part-time roles of less than 20 hours per week) are typically eligible for inclusion in our LSEG Benefits program, which includes offerings of: Annual Wellness Allowance, Paid time-off, Medical, Dental, Vision, Flex Spending & Health Savings Options, Prescription Drug plan, 401(K) Savings Plan and Company match. LSEG's Benefits plan also includes basic life insurance, disability benefits, emergency backup dependent care, adoption assistance commuter assistance etc.

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.

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.