Assistant Manager, D&A Compliance

The Assistant Manager, Data & Analytics Compliance will support the Data & Analytics (D&A) Business team as a trusted partner within the London Stock Exchange Group (LSEG). This role will provide guidance and advisory support to the D&A Business and protect the LSEG brand, its products and employees.

The Assistant Manager will ensure appropriate policy, processes, systems and structures are in place to handle compliance with the business's legal and regulatory obligations. This role will support the D&A Compliance & Legal team through various strategic projects and work streams which may include jurisdiction analysis for required licenses, product/service assessment for regulatory scoping, regulatory authorization coordination, documentation of compliance policies and frameworks, regulatory risk management development, and operational resiliency readiness, amongst others.

The primary regulators for the D&A business include the UK Financial Conduct Authority (FCA).

The successful candidate will be a business partner, providing advice regarding emerging business initiatives and regulations that impact LSEG customers. They will be a proactive, effective communicator with strong influencing skills, enhancing the compliance framework and program by introducing approaches to maximize efficiency and effectiveness.

• Business Relationship:
  Develop and maintain business relationships across D&A as well as LSEG by providing timely and effective advice and developing the communication channels to ensure a two‑way flow of information. Participate in regulatory projects that have a business impact, ensuring that changes are appropriately embedded. Promote compliance and help ensure compliance with policies and procedures.
• Regulatory relationship and reporting:
  Support relationship management with relevant regulators across the globe, particularly within the UK and EMEA such as FCA/ESMA/CBI, including regulatory ad‑hoc notifications, client communications, BAU correspondence, and periodic filings. Maintain relevant regulatory licenses within the relevant jurisdictions and ensure all licensing requirements and obligations are being met.
• Analysis and advice:
  Provide compliance advisory services to the business, but also valuable challenge & scrutiny, whilst maintaining a “trusted business partner” relationship. Sign off on marketing materials and financial promotion materials, ensuring compliance with local laws and regulations.
• Regulatory strategy and change:
  Support regulatory change projects, to ensure the design and implementation proposed by the business addresses regulatory risks and obligations, including leading sub‑work streams, where required. Provide input into regulatory horizon scanning, including drafting responses to consultations, and collaborating with Compliance, Legal, Risk and Government Relations teams.
• Governance and Management Information (MI):
  Prepare concise and effective MI reports, participate in and present at various governance forums and committees, and be empowered to raise risks, issues, or concerns via senior colleagues and forums. Ensure proper governance arrangements are adhered to.
• Policies:
  Support the management of compliance policies and policy governance. Develop, review, and update the suite of regulatory policies and procedures in line with the LSEG framework, including providing input into business processes. Design, implement and enhance compliance governance and controls working with the Central Compliance team. Implement an effective compliance program for the entities to ensure they are operating in accordance with licensing obligations.
• Controls:
  Assist in the review that addresses whether Compliance controls are fit for purpose and address regulatory requirements. Assist in documenting the outputs of the assessments and in working with the business on developing remediation plans to mitigate regulatory risks where required.
• Assurance and audits:
  Enable effective assurance by supporting internal reviews and external audits of the business as the need arises, including inputting to the risk assessment, plan, execution, and remediation of reviews. Assist the business to…