LSEG
Senior Associate, LSEG Markets Compliance
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Senior Compliance Solutions Assistant Regulatory Reporting Solutions (RRS) & Post Trade Solutions (PTS)
Regulatory Reporting Solutions (RRS) deliver compliance services to UK and EU clients, operating as:
- UK *authorised UKMIR Trade Repository (TR) and Approved Reporting Mechanism (ARM)
- EU *authorised EMIR TR, ARM, and Approved Publication Arrangement (APA)
Post Trade Solutions (PTS) unite regulated and non-regulated entities—including Quantile, Acadia, TradeAgent, and SwapAgent—to provide post-trade capabilities: trade compression/risk optimisation, collateral management, settlement facilitation, and trade routing/pairing/matching.
About the Role
Reporting to the UK Senior Compliance Manager, this Senior Associate role focuses on reinforcing and scaling compliance frameworks for RRS and PTS as businesses evolve and adapt to regulatory change. Expect close collaboration with the EU Senior Manager and Risk & Compliance Officer within the team.
Key responsibilities include:
-
Compliance Monitoring:
- Support RRS/PTS adherence to applicable regulations and internal policies via a Compliance Monitoring Plan
- Compile management information to demonstrate ongoing compliance
-
Compliance Governance:
- Maintain compliance procedures—ensuring they are current, implemented, and updated proactively
-
Stakeholder Engagement:
- Partner with UK Senior Manager to contribute to regulatory projects
- Lead timely, high-quality responses to regulatory enquiries
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- Knowledge Sharing & Training:
- Co-develop and deliver compliance training alongside the team
Essential Experience & Skills
Education & Work Experience
- Strong academic or professional background—degree level or equivalent with industry/regulatory qualifications (e.g., FCA examinations)
- Proven experience in compliance, risk, or financial regulation—preferably within:
- FCA Handbook enforcement
- EMIR, MiFID/MiFID II transaction reporting
- Internal audit/regulatory consultation
- Prior liaison with regulatory authorities or experience under scrutiny (desirable)
- Minimum 2 years’ relevant experience in:
- Investment firms
- Regulatory authorities/consultancies
- Legal teams within financial entities
Technical Abilities
- Exceptional analytical, organisational, and issue-resolution skills with a focus on deadlines
- Proficiency in everyday compliance checks, risk data execution, and reporting documentation
LSEG Core Cultural Skills
The role demands behaviour aligned to LSEG’s well-being values:
Integrity
- Consistently prioritise ethical compliance and modesty under scrutiny
- Work respectfully with supervisory teams
Flexibility
- Adapt to shifting priorities in a dynamic environment
- Multitask for multiple stakeholders with due attention to time-managed improvements
- Present problem-solving warfare with confidence to driven stakeholders
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Partnership
- Collaborate with Product, IT, Sales, and senior management to develop compliance frameworks
- Cultivate intellectual curiosity and skill-sharing with peers
- Foster transparency and communication across product/business teams
Innovation
- Actively propose process improvements that add long-term value
Excellence in Execution
- Clear, concise communication to external and internal audiences
- Attention to detail + big-picture focus
- Proactive, demonstrating independent thinking while prioritising business needs
Why Join Us
Purpose-Driven Impact: A role in LSEG means contributing to financial stability—driving standards in risk and reporting that shape markets globally.
Growth Culture: There’s encouragement to develop competence in evolving remits and share insights through regular feedback.
Employment Equity & Support:
- A modern organisation that values diversity and mentorship.
- Benefits include:
- Healthcare package
- Retirement planning
- Paid volunteering time and wellbeing initiatives
LSEG (London Stock Exchange Group) Creating enduring value in financial markets with 25,000+ team members across 70 countries. Apply now via our Careers portal.
Note: Details on this vacancy are subject to change upon board approval.
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