Senior Associate, Capital Markets Compliance

Posted 15 April by eFinancialCareers
Competitive salary
London , South East England
Permanent, full-time
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Role Profile

An exciting opportunity exists for a Senior Associate to join the Capital Markets Compliance team (CMC) of the London Stock Exchange Group (LSEG). CMC provide compliance and advisory support to the Equities and FX Trading businesses within the Capital Markets division of LSEG, providing oversight, guidance and challenge to ensure a robust compliance framework is maintained.

The role will be based in London but presents a unique opportunity to support both the LSEG Equities and FX trading businesses operating globally. This covers the London Stock Exchange and Turquoise ® entities based in the UK and the Netherlands, and global FX entities offering trading venue services from Singapore, US, UK and Ireland.

London Stock Exchange plc is a Recognised Investment Exchange (RIE) supervised by the FCA. It supports the wider economy by providing access to capital through primary issuance and offers secondary market trading in equities, fixed income, Exchange Traded Products and other types of securities. LSE also operates an Approved Publication Arrangement (operating as TRADEcho) and a Primary Information Provider (RNS), amongst other business lines.

Turquoise® is majority owned by LSEG in partnership with a number of investment banks. It operates two leading pan-European equity trading platforms, one in the UK under the supervision of the FCA and another in the Netherlands under the supervision of the AFM.

LSEG operates a global FX business that offers a variety of products and services that include trading in NDFs, options and forwards on regulated venues such as MTFs, RMO and SEF.

The successful candidate will provide advice and guidance on the application of the rules and regulatory requirements that apply to the businesses that CMC supports, in the context of business initiatives, new developments or regulatory change. They will assist with periodic assurance reviews and ensuring appropriate processes and controls are maintained to meet the regulatory requirements. They will assist the CMC team and the business through their ownership of various other cross-team responsibilities.

Key Responsibilities
  • Provide timely and accurate input/advice to the supported businesses on regulatory projects and business initiatives, including new instrument screening.
  • Owning regulatory calendars, compliance procedures and owning the production of management information.
  • Co-ordinating and supporting the wider CMC team as necessary, including with regulatory rules mapping and risk assessments.
  • Support the delivery of Compliance assurance reviews, both required under the regulatory obligations of the business and identified through risk-based assessments.
  • Liaison with both domestic and overseas regulators, including through regular scheduled meetings, responding promptly to questions or requests, and ensuring the business meets its notification and filing requirements.
  • Assist the businesses in developing commercial projects from a regulatory perspective, including obtaining regulatory permissions and licenses where required.
Key behaviours, skills and experience
  • Graduate level education and relevant industry experience, preferably gained in Securities and/or FX markets Compliance.
  • Effective communicator at all levels with excellent written and verbal communication skills.
  • Pragmatic, a good problem solver and able to work in a collaborative 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 workflows.
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.

Reference: 52479990

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