Senior Compliance Specialist

Senior Compliance Specialist

Scope of Position:

Reporting to the Team lead - Controls Services. The successful applicant will be encouraged to demonstrate their knowledge and experience across different functions/departments/processes to operate Internal controls for different processes across COO.

Roles and responsibilities:

• Be accountable for the Internal control operation.

• Ensure understanding of the internal controls, its objective, and the risk it is trying to mitigate.

• Ensure preparation/revision of standard operating procedures for respective controls as and when required

• Ensure completion of control operation (Financial/Key/Operational) with accuracy and within defined timelines.

• Ensures responsibility of evidence gathering and storage for future retrieval purpose.

• Collaborate with customers/parters to ensure that impact of changes in the operational process is fully understood to align with its impact on the control design and operation.

• Be responsible to raise control related issues to the respective teams and ensure closure within timelines.

• Recommend and implement improvements to controls processes (participate in improvement/simplification projects), ensuring changes to internal controls are agreed by management and signed off by the respective customers/partners.

• Ensure that preparation, outputs, and follow-up for audits are carried out to the required standard as determined by relevant internal parties. Lead process walkthroughs to external auditors. Collect, generate and dispatch data feed access declarations (DADs).

• Organizes and attends internal meetings and supports in the preparation of responses to requests for information from various customers/partners.

• Understanding of control frameworks and their application across operational processes – Awareness.

• Ability to design, implement, and assess effective controls - Awareness.

• Ability to identify opportunities to apply AI tools and techniques to improve day to day execution, enhance analysis quality, and drive efficiency within assigned processes or teams – Awareness.

• Understanding of Financial and Non-financial Risk Initiatives - Awareness.

• Understanding of Risk, control concepts and LSEG group control standards – Awareness.

Control Framework Compliance:

Develop understanding of the LSEG Control framework and related policies and standards.

Relationship with control owners:

Partner with control owners to ensure Control operation and monitoring. Providing regular updates on control operation status.

Relationship with 1st LOD and 2LOD:

Partner with the 1st LOD and 2 LOD Risk to ensure the operation of Internal controls owned by CST/respective business/functions with accuracy and within defined timelines.

Partner with 2LOD risk to ensure alignment of the Control Services processes with Group Risk standards.

Relationship with 3LOD Internal Audit: Support third party audit as and when required.

Experience/Skills Requirements:

• Candidate with demonstrated ability in Operations background (e.g., Order Management/AP/AR experience/BSR) will be preferred. Profiles with understanding

of Internal control design and operation background will be an added advantage.

• Any bachelor’s degree or equivalent experience with the shown experience and skills.

• Candidate should be able to connect with clarity and precision.

• Ability to multitask with organization skills.

• Ability to work independently and be a problem solver.

• A validated focus on continual improvement.

• An Innovative approach to work. CORPORATE

• Strong understanding of operation processes.

• Proficiency in Microsoft Office specially Excel, Word, and PowerPoint.

• Data Analytics skills would be an added advantage.

Career Stage:

Associate

London Stock Exchange Group (LSEG) Information:

Join us and be part of a team that values innovation, quality, and continuous improvement. If you're ready to take your career to the next level and make a significant impact, we'd love to hear from you.

LSEG is a leading global financial markets infrastructure and data provider. Our purpose is driving financial stability, empowering economies and enabling customers to create sustainable growth.

Our purpose is the foundation on which our culture is built. Our values of Integrity, Partnership, Excellence and Change underpin our purpose and set the standard for everything we do, every day. They go to the heart of who we are and guide our decision making and everyday actions.

Working with us means that you will be part of a dynamic organisation of 25,000 people across 65 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.

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.

You will be part of a collaborative and creative culture where we encourage new ideas. We are committed to sustainability across our global business and we are proud to partner with our customers to help them meet their sustainability objectives. Our charity, the LSEG Foundation provides charitable grants to community groups that help people access economic opportunities and build a secure future with financial independence. Colleagues can get involved through fundraising and volunteering.

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

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.

Experience Level

Senior Level