The Senior Compliance Manager will support a dynamic compliance environment by assisting in the development and maintenance of a comprehensive compliance programme for ISD.
identify and respond to ongoing regulatory changes, implementing required policies and procedures inclusive of appropriate operational and compliance oversight.
This role is part of the ISD Core Compliance team, who reports to the Head of Core Compliance. This role can be either based in Hong Kong or Taipei.
The Compliance team carries out assurance reviews of business activities, generates management information for governance forums, handles regulatory reports and notifications, and is responsible for policy development and training.
The Senior Compliance Manager will be responsible for supporting the following activities :
Controls : Review and ensure that business controls are fit for purpose and address the regulatory requirements. Detail the outputs of the assessments and work with the business on developing remediation plans to mitigate regulatory risks where required.
Reviews and Analysis : Assist in the review of marketing material and analyses compliance perimeter issues with respect to investment advisers’ rules.
Monitoring & Assurance : Undertaking compliance monitoring & assurance to track and mitigate compliance risks of the business.
Conduct ad hoc risk based reviews and help the business to devise and close out on corrective action plans. Identify policy breaches and provide appropriate reporting to management.
Policy Management : Manage compliance policies and policy governance. Advise business on and provides interpretations of regulatory requirements and internal policies and procedures.
Training : Lead an appropriate regime for new joiner induction training and ongoing compliance training for all staff; deliver ad hoc compliance training on new initiatives as and when required.
Major Regulatory Projects : Monitor regulatory changes and maintain supervisor relationships with regional regulators. Lead major regulatory projects that have a business impact, ensuring that changes are appropriately embedded in the business.
Ensure effective implementation of all new compliance policies.
Candidate Profile / Key Skills
5+ years of experience in a compliance, legal, audit, or risk environment
Good understanding of the compliance issues impacting market infrastructure or financial services
Law degree preferred
Ability to take a risk based lens to issues, think critically and ask difficult questions
Experience with risk assessment, monitoring and controls testing would be an asset
Experience with investment advisor regulations preferred
Experience with rules and regulations (current and forthcoming) relating to the financial services industry would be an advantage
and the jobholder’s overall contribution to the Compliance team in terms of partnership, versatility, and upholding the values of the firm.
People are at the heart of what we do and drive the success of our business. Our colleagues thrive personally and professionally through our shared values of Integrity, Partnership, Innovation and Excellence are at the core of our culture.
We embrace diversity and actively seek to attract people with unique backgrounds and perspectives. We are always looking at ways to become more agile so we meet the needs of our teams and customers.
We believe that an inclusive collaborative workplace is pivotal to our success and supports the potential and growth of all colleagues at LSEG.
A career with London Stock Exchange Group offers you the opportunity to be at the centre of the financial community. As well as competitive salaries and a range of attractive benefits, we maximise each employee’s potential through personal development plans, training, coaching and mentoring.