Manager, Markets Compliance

Role Profile

An exciting opportunity exists to join the Markets FX Compliance team as a Manager at the London Stock Exchange Group (LSEG). The team gives compliance and advisory support to the global FX trading venues businesses within the Markets division of LSEG, providing oversight, guidance, and challenge to ensure a robust compliance framework is maintained. 

The role is based with the India-based FX business. The core focus of the role will be in supporting LSEG’s FX regulated entities, primarily those in Asia, which includes entities regulated by the Monetary Authority of Singapore, Reserve Bank of India and Bank Negara Malaysia.

The successful candidate will provide advice and guidance on the application of the rules and regulatory requirements that apply to the businesses, in the context of business initiatives, new developments or regulatory change.  They will assist with periodic assurance reviews and provide challenge to the business leads where required, ensuring appropriate processes and controls are maintained to meet the regulatory requirements. They will also help to maintain the relationship with the regulatory supervisors that have oversight of LSEG’s authorised entities, including in the provision of periodic and ad-hoc notifications and reports and provide a key two-way communication channel with the business.

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

Key Responsibilities

• Provide timely and accurate input/advice to the supported businesses on regulatory projects and FX business initiatives.
• Compliance with regulatory license obligations through ensuring notification and filing requirements are met
• Act as liaison with both domestic and overseas regulators, including through regular scheduled meetings and responding promptly to questions or requests. 
• Owning regulatory calendars, compliance procedures and owning the production of management information and other stakeholder reports such as horizon scanning.  
• Co-ordinating and supporting the wider Markets team, including with horizon scanning activities, 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.
• 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 financial services experience, preferably in Capital Markets, and/or FX markets. 
• Effective communicator with excellent written and verbal communication skills.
• Pragmatic, a good problem solver and able to work in a collaborative manner.
• Ability to manage competing workloads
• Works well with other departments and develop good working relationships across the business at all levels.
• Good analytical skills, preferably with experience of regulatory interpretation.

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.

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