D&A Compliance Senior Manager

Purpose of the role

The successful candidate will provide oversight, guidance and challenge to ensure a robust compliance framework is developed and maintained. The successful candidate will also hold the Senior Manager Function (SMF) 16 (Compliance Oversight) position and as such will be responsible for the compliance function in the firm and reporting to the governing body on this.

Reporting to the Head of D&A Compliance, the core focus of the role will be to support the LSEG TORA business, in particular, TORA UK entity's application to the UK Financial Conduct Authority, providing advice and guidance as the subject matter expert on the applicable rules and regulatory requirements, and ensuring appropriate processes and controls are maintained to meet those requirements.

LSEG TORA intends to operate an FCA-regulated entity in relation to its outsourced trading solution (OTS), namely general arranging, arranging with the view and dealing in investments as agent.

The successful candidate may also be required to provide oversight of D&A division, as appropriate and in line with regulatory requirements and expectations.

What you'll be doing

• Provide timely, clear, and accurate regulatory and licensing advice to the D&A business. This includes support for TORA projects, products, and opportunities that align with LSEG's wider strategic goals.
• Support and contribute to reporting for TORA UK governance forums, including the Board and senior divisional compliance leadership. Provide guidance on the UK compliance framework for TORA.
• Deliver compliance assurance reviews for TORA UK in partnership with the Central Compliance Assurance team. Reviews will reflect both regulatory requirements and risk based assessments.
• Represent the compliance function at key internal governance forums. Help ensure risks are identified, escalated, and addressed appropriately.
• Act as a key point of contact with the FCA. This includes supporting new initiatives and products, responding to regulatory queries, and meeting notification requirements in a timely manner.
• Support the business on commercial projects from a regulatory perspective, including assisting with regulatory permissions and licences where required.
• Manage regulatory applications, ongoing filings, and related obligations for TORA UK's regulated activities. This includes reporting to the FCA and other relevant global regulators.
• Collaborate with and support the wider D&A Compliance team. Activities may include regulatory horizon scanning, rules mapping, risk assessments, and the preparation of management information.

What you'll bring

• Relevant proven experience, preferably gained in OTC markets Compliance.
• Effective communicator at all levels with excellent stakeholder management and engagement skills.
• Pragmatic and detail-oriented, a good problem solver and able to work in a collaborative and constructive manner.
• Able to work well with other departments and develop good working relationships across the business at all levels.
• Good analytical skills.
• Good organisational skills with the ability to progress issues on a timely basis, be flexible and prioritise competing workflows.

Career Stage

Manager

Benefits

LSEG offers a range of tailored benefits and support, including healthcare, retirement planning, paid volunteering days and wellbeing initiatives.

Equal Opportunities

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 mental health or physical disability needs.