Manager, D&A Compliance –APAC

The Manager, D&A Compliance –APAC is an established role within the London Stock Exchange Group (LSEG). The role will support the D&A Compliance team as a trusted business partner, providing guidance and advisory support to senior management within the D&A Business lines and to protect the LSEG brand, its products and employees.

Responsibilities:

• Develop and maintain business division relationships across the D&A business within D&A as well as the wider LSE Group
• Support relationship management with relevant regulators across the globe, particularly APAC
• Provide compliance advisory services and valuable challenge & scrutiny
• Support regulatory change projects and ensure that the design and implementation proposed by the Business addresses regulatory risks and obligations
• Prepare concise and effective MI / reports for and participate in various governance forums and committees
• Supporting the management of compliance policies and the policy governance
• Assist in the review that Compliance controls are fit for purpose and address the regulatory requirements
• Monitor training programmes to ensure relevant audiences remain relevant with the firm’s policies and procedures
• Enable effective assurance by supporting internal reviews and external audits of the business as required
• Support a dynamic compliance environment by assisting in the development and maintenance of a comprehensive compliance monitoring and assurance programme
• Oversight and direction for the integration of Hong Kong SFC Broker-Dealer compliance for trading technology solutions

Requirements:

• Compliance or relevant business-related experience, with at least 5 years of experience working within a Financial Infrastructure firm or a Financial Services firm
• Solid experience across relevant Business, Compliance, Risk, Consulting, or Regulator roles
• Proven working knowledge of Hong Kong SFC regulations/Broker-Dealer financial regulations and themes
• Strong communication and interpersonal skills
• Analytical mind, ability to solve complex problems and streamline processes
• Ability to take a risk-based approach to issues, think critically and ask difficult questions
• Highly organised individual who can manage multiple workstreams across different projects
• Self-motivated individual with ability to work under tight deadlines
• Experience in drafting policies, conducting regulatory analysis, and preparing reports for regulatory bodies and internal management