Compliance Director - D&A

The D&A Compliance Director key responsibilities are to be a business partner, providing guidance and advice to senior management and to protect the D&A business, its products and employees.

This role is responsible for ensuring appropriate policy, processes, systems and structures are in place to manage compliance with D&A's regulatory obligations. The role also has responsibility for managing a high performing compliance team and instilling a strong compliance culture within the business and managing, advocating and evolving the relationship with all relevant regulators of D&A.

Key Responsibilities:

Strategic

• Enhance and deliver a compliance strategy for the D&A business
• Drive a culture of compliance across the business
• Attend relevant senior business management meetings
• Deliver synergies and positive business impacts, while creating additional team capacity to allow for further scaling as the business grows
• Lead and inspire a strong compliance team to support current and future business needs and build a pipeline of talent
• Build a robust understanding of the combined businesses within D&A's current portfolio and strategic areas for expansion
• Partner with the business on product developments from the onset to provide an oversight to ensure offering are within regulatory standard methodologies

Leadership & Team Management

• As a senior member of the Compliance function, display exemplary leadership skills consistently among the wider team and across the organisation
• Ensure a strong compliance culture through excellent influencing and organisational change
• Demonstrate strong organisational skills in coordinating compliance activities across the Group
• Lead and develop team members proactively and continuously maintaining and developing a high-performance culture
• Build career development opportunities for team members and identify and progress a talent pipeline

Oversight and Advisory

• Lead a highly effective Compliance function that is positioned to support the business in ensuring compliance with all key regulatory obligations
• Oversight of multifaceted compliance obligations and regulatory requirements of the business
• Continuously improve the quality, timeliness, accuracy, relevance, content and format of compliance reporting and prepare and deliver appropriate reports for the Senior Management within D&A and the Group
• Continuously develop, enhance, and embed the compliance framework to stay ahead of changing obligations
• Lead the program to respond to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating or recommending the initiation of investigative procedures
• Support the business to achieve growth targets prudently and identify, assess and control compliance related risks prior to material P&L impact
• Review and challenge Senior Management on key operational and strategic decisions that may have a compliance, reputation or risk implication
• Work closely with other key control function including Internal Audit, and Group Risk Management to ensure a comprehensive, effective and streamlined approach to risk management
• Works collegiately with other functions i.e. HR to ensure that a robust compliance education program is in place and delivered on a timely basis
• Engage with regulators as and when required

Minimum qualifications

• 8+ years of compliance experience, which should include experience in various phases of building, implementing and improving a compliance program.
• Deep knowledge of ESMA and FCA and related laws applicable to consumer reporting agencies
• Experience with regulatory communications, e.g., disputes, complaints, audits, etc.
• Experience managing a team of compliance professionals
• A detailed understanding of industry standard methodologies
• Experience building trust and influencing across sales, technical and non-technical partners at various levels
• Experience effectively prioritising work and meeting timelines
• Communication and presentation skills needed to articulate developments and to conduct effective training
• Demonstrated experience issue spotting and assessing information for risk mitigation

Preferred qualifications

• Particular expertise in managing regulatory change projects
• Experience with the FCA and ESMA
• Data and analytics experience (preferred)

Career Stage:

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.

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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.

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