London Stock Exchange Group

Customer Assurance Manager, Compliance

London, London, United Kingdom, United Kingdom
Competitive salary
26 Jan 2023
24 Feb 2023
Approved employers
Approved employer
Job role
Experience level
Position Summary

To conduct compliance audits at our clients across all geographical units as required and to identify non compliance in the use of Refinitiv services. The Customer Compliance Team is a function within the business with a global remit, whose primary purpose is to eliminate financial and third-party exposure both to Refinitiv and our Clients by the correct licensing of services. The group works with local front line operations as well as product and proposition businesses across Refinitiv.

What you'll be doing?

Establish an area of expertise and excellence in Refinitiv services and associated data control/ Permissioning systems, while offering positive and proactive consultancy to our internal and external Clients on all compliance issues relating to usage rights.
  • Work with local/national units and management to identify clients for review.
  • Plan and conduct compliance reviews ensuring the relevant client operations, systems, information workflow and related business objectives are understood.
  • Compile reports on results of compliance reviews and audits, highlighting compliance exposures and associated remedies.
  • Support Clients and Refinitiv teams through the process of Audit Remediation by advising on and monitoring the correct licenses are put in place
  • Review and analyze new business terms and conditions affecting compliance issues.
  • Establish an area of expertise in usage rights in designated areas of Refinitiv. Clearly being able to apply those rights to Individual, Enterprise and Redistribution usage within different scenarios.
  • Work with Proposition and Legal as required to gain additional contract wording to help close Compliance gaps in our agreements and Order Forms.
  • Become an expert in a sub proposition product set to support the wider team in their Audits by proving insight and advice on how they fit into our Licensing Regime
  • Work with Proposition to drive for Product enhancements to support the Compliance team in their role
  • Travel up to 10%
Who are we looking for:
  • Knowledge and understanding of the financial services industry including key organisation user types and process flow across clients businesses
  • Demonstrable knowledge of financial markets across asset classes and how information is used in Financial Services
  • An understanding of the Exchanges and specialist data providers, how they operate, how they license the use of their data and where customers can fall foul of their terms of business
  • Experience of working for or with an Exchange, Specialist Data provider or market data vendor in the past a distinct advantage.
  • An understanding of Refinitiv product line, infrastructure and associated control systems, including sales practices, product pricing, customer administration and sales systems / processes.
  • Strong verbal and written communication skills to confidently making a case from a compliance perspective and communicating internally and externally to ensure this perspective has credibility and acted upon.
  • Good analytical skills with the ability to link seemingly unrelated subjects in order to draw compliance conclusions.
  • Ability to prioritize and multi-task while managing a large number of stakeholders with differing priorities.
  • Interpersonal/Team Skills: Ability to work successfully in a team environment. Communicates appropriately and effectively with team members and contacts, in and outside the company.
  • Markets Data experience.
  • Analytical and Diligent experience.
  • Should have a proven track record of client exposure / engagement
  • Educated to Degree level - but not essential
  • Excellent English language skills, both written and oral. Additional language including French are a bonus
  • Audit experience with vendors, clients or exchanges desirable but not essential
At LSEG, we believe that creating a diverse and inclusive organisation is fundamental to the way we deliver on our promise of creating essential partnerships and open opportunities. Our open culture is central to how we deliver our purpose - driving financial stability, empowering economies and enabling customers to create sustainable growth - in everything we do.

Working with us means that you will be part of a dynamic organisation of 25,000 people across 70 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 any mental health or physical disability needs.

Please take a moment to read this privacy notice carefully, as it describes what personal information London Stock Exchange Group (LSEG) (we) may hold about you, what it's used for, and how it's obtained, your rights and how to contact us as a data subject.

If you are submitting as a Recruitment Agency Partner, it is essential and your responsibility to ensure that candidates applying to LSEG are aware of this privacy notice.

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