Associate Manager, Central Compliance

Job description

ABOUT US: LSEG (London Stock Exchange Group) is more than a diversified global financial markets infrastructure and data business. We are dedicated, open-access partners with a dedication to excellence in delivering the services our customers expect from us. With extensive experience, deep knowledge and worldwide presence across financial markets, we enable businesses and economies around the world to fund innovation, manage risk and create jobs. It’s how we’ve contributed to supporting the financial stability and growth of communities and economies globally for more than 300 years. Through a comprehensive suite of trusted financial market infrastructure services – and our open-access model – we provide the flexibility, stability and trust that enable our customers to pursue their ambitions with confidence and clarity. LSEG is headquartered in the United Kingdom, with significant operations in 65 countries across EMEA, North America, Latin America and Asia Pacific. We employ 25,000 people globally, more than half located in Asia Pacific. LSEG’s ticker symbol is LSEG. OUR PEOPLE: People are at the heart of what we do and drive the success of our business. Our values of Integrity, Partnership, Excellence and Change shape how we think, how we do things and how we help our people fulfil their potential. We embrace diversity and actively seek to attract individuals with unique backgrounds and perspectives. We break down barriers and encourage teamwork, enabling innovation and rapid development of solutions that make a difference. Our workplace generates an enriching and rewarding experience for our people and customers alike. Our vision is to build an inclusive culture in which everyone feels encouraged to fulfil their potential. We know that real personal growth cannot be achieved by simply climbing a career ladder – which is why we encourage and enable a wealth of avenues and interesting opportunities for everyone to broaden and deepen their skills and expertise. As a global organisation spanning 65 countries and one rooted in a culture of growth, opportunity, diversity and innovation, LSEG is a place where everyone can grow, develop and fulfil your potential with meaningful careers. Role Summary: The Associate Manager, Central Compliance will play an important role in promoting the Company’s strong culture of ethics and compliance through the delivery of daily business-as-usual tasks/processes and supporting project work where necessary. The ideal candidate will have some experience in Compliance or other function where advisory skills are utilized as the position will involve regular contact with employees at all levels across the Group. This role will be based in Bengaluru and will report to the Senior Compliance Manager, Central Compliance who is based in London. We are looking for someone who can commit to UK business hours (Monday-Friday 9am to 5pm) and ideally UK public holidays, however there is some flexibility with regards to the bank holidays. Key Responsibilities: • Develop excellent working knowledge of key Central Compliance policies: Personal Account Dealing, Conflicts of Interest, and Gifts, Entertainment and Hospitality. • Provide advice and guidance in relation to key policies to employees/stakeholders where necessary • Provide day-to-day administration of the Central Compliance System (CCS) including review of declarations/requests. • Undertake investigations of compliance policy/process breaches • Deliver training across policy areas • Undertake control/monitoring tasks in relation to above policy areas and support Management Information reporting which may involve MetricStream • Respond to queries and manage the team Inbox through participation in bi-weekly calls to identify and tackle any high-risk items. • Work with the team head to deliver the Annual Compliance Certification including responding to queries and working through associated breaches Other responsibilities include updating employee support tools such as User Guides, videos and other documentation e.g. FAQ for PAD, COI, GE&H. To provide support to People Leader on ad-hoc tasks/projects. To work closely with the vendor support to enhance/make config changes to the CCS. Key behaviours, skills and experience required to be successful in the role: • Two to five years of demonstrable experience, working within Financial Services in a Compliance / Risk / Advisory / other second-line-of-defence function. • Experience in Central Compliance/Control Room supporting the administration of conflicts of interest/employee compliance system (e.g. StarCompliance, MyComplianceOffice) desirable. • Strong interpersonal skills and the ability to communicate effectively with employees across all Functions including the Business. Able to exercise discretion when required and demonstrate diplomacy. • Time management, prioritisation, and organization skills; ability to work on multiple tasks simultaneously and deliver to deadlines. Versatile as the needs and demands of the team evolve. • Technologically proficient in the use of MS Office 365 suite, specifically Word, Excel, PowerPoint and Teams. It would be an advantage to have a Compliance certification/qualification and/or project management skills or be working towards one. Employee Benefits At LSEG, we provide our employees with a comprehensive benefits portfolio as part of a competitive total rewards package. Our benefit plans are designed to supplement the financial, emotional and physical wellbeing of our employees and their families at all stages of their life. We encourage an appreciative, c