Compliance Manager

The Compliance Manager provides compliance advice, challenge and support across LSEG's regulated businesses and legal entities, with a particular focus on Private Markets, including private funds and the London Stock Exchange's (LSE) Private Securities Market (PSM), a PISCES.

As the Compliance Manager you will work closely with the business on both established activities and new initiatives, helping stakeholders navigate regulatory requirements, assess the impact of change and deliver appropriate outcomes. The role combines day-to-day advisory coverage with responsibility for broader horizon scanning, governance and regulatory engagement.

Responsibilities & Key Accountabilities:

• Acts as a Compliance partner, providing practical and timely advice on regulatory requirements, supervisory expectations, and regulatory change implications.
• Takes ownership of core compliance activities across these areas, ensuring regulatory obligations, governance processes and BAU are optimally managed.
• Provides compliance advice on new business proposals, products, services and changes to existing processes, identifying regulatory considerations early and working with team members to identify solutions.
• Builds positive relationships across the business and control functions, providing challenge while applying good judgement and a commercial understanding of the issues involved.
• Supports engagement with regulators, including preparing submissions, briefings and responses to queries, and helping colleagues navigate regulatory interactions.
• Leads the DSM Compliance regulatory horizon-scanning function, coordinating inputs, assessing developments and presenting updates and emerging themes internally.
• Leads and supports regulatory change impact assessments, including cross-cutting developments, working with collaborators to understand business impacts, and support effective implementation.
• Maintains and develops compliance policies, procedures, risk assessments, rules mapping and governance documentation.
• Supports new jurisdiction Compliance assessments.
• Briefs senior DSM Compliance management on regulatory developments, business initiatives, emerging risks and matters requiring intervention.
• Contributes to the wider DSM Compliance function, providing broader coverage and supporting priorities across the team where required.

Requirements:

• Previous experience within financial services compliance, ideally within capital markets, primary markets, private markets, investment funds or a regulated market / trading venue environment.
• Detailed knowledge of the UK regulatory framework, with the ability to interpret requirements and translate them into practical advice.
• Able to work independently, take ownership of areas of responsibility and exercise sound judgement.
• Strong stakeholder-management skills, with the confidence to advise, influence and constructively challenge colleagues at different levels of seniority.
• Strong written and verbal communication skills, including the ability to distill sophisticated issues into practical messages.
• Strong interpersonal skills, with the ability to lead established responsibilities alongside change, new initiatives and emerging issues.
• Comfortable working across multiple workstreams and priorities in a fast-moving environment.
• Collaborative approach, with the ability to work across multiple internal functions.