Description

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 commitment 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.

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.

An exciting opportunity exists for an experienced Compliance Senior Manager to join the Data & Analy (D&A) Compliance team within LSEG, to lead on 2nd line compliance advisory support to the D&A business with specific lead 2nd line compliance responsibility to the TORA business.

Purpose of the role

The successful candidate will provide oversight, guidance and challenge to ensure a robust compliance framework is developed and maintained. The successful candidate will also hold the Senior Manager Function (SMF) 16 (Compliance Oversight) position and as such will be responsible for the compliance function in the firm and reporting to the governing body on this.

Reporting to the Head of D&A Compliance, the core focus of the role will be to support the LSEG TORA business, in particular, TORA UK entity's application to the UK Financial Conduct Authority, providing advice and guidance as the subject matter expert on the applicable rules and regulatory requirements, and ensuring appropriate processes and controls are maintained to meet those requirements.

LSEG TORA intends to operate an FCA-regulated entity in relation to its outsourced trading solution (OTS), namely general arranging, arranging with the view and dealing in investments as agent.

The successful candidate may also be required to provide oversight of D&A division, as appropriate and in line with regulatory requirements and expectations.

What you'll be doing

• Provide timely, clear, and accurate regulatory and licensing advice to the D&A business. This includes support for TORA projects, products, and opportunities that align with LSEG's wider strategic goals.
• Support and contribute to reporting for TORA UK governance forums, including the Board and senior divisional compliance leadership. Provide guidance on the UK compliance framework for TORA.
• Deliver compliance assurance reviews for TORA UK in partnership with the Central Compliance Assurance team. Reviews will reflect both regulatory requirements and risk-based assessments.
• Represent the compliance function at key internal governance forums. Help ensure risks are identified, escalated, and addressed appropriately.
• Act as a key point of contact with the FCA. This includes supporting new initiatives and products, responding to regulatory queries, and meeting notification requirements in a timely manner.
• Support the business on commercial projects from a regulatory perspective, including assisting with regulatory permissions and licences where required.
• Manage regulatory applications, ongoing filings, and related obligations for TORA UK's regulated activities. This includes reporting to the FCA and other relevant global regulators.
• Collaborate with and support the wider D&A Compliance team. Activities may include regulatory horizon scanning, rules mapping, risk assessments, and the preparation of management information.

What you'll bring

• Relevant proven experience, preferably gained in OTC markets Compliance.
• Effective communicator at all levels with excellent stakeholder management and engagement skills.
• Pragmatic and detail-oriented, a good problem solver and able to work in a collaborative and constructive 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.

Career Stage:
Manager

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.