Senior Compliance Manager, Digital Markets Infrastructure

About Us

LSEG (London Stock Exchange Group) is more than a diversified global financial markets infrastructure and data business. We are dedicated, open-access partners with a commitment to excellence in delivering the services our customers expect from us. With extensive experience, deep knowledge and worldwide presence across financial markets, we enable businesses and economies around the world to fund innovation, manage risk and create jobs. It's how we've contributed to supporting the financial stability and growth of communities and economies globally for more than 300 years.

Through a comprehensive suite of trusted financial market infrastructure services - and our open-access model - we provide the flexibility, stability and trust that enable our customers to pursue their ambitions with confidence and clarity.

LSEG is headquartered in the United Kingdom, with significant operations in 70 countries across EMEA, North America, Latin America and Asia Pacific. We employ 25,000 people globally, more than half located in Asia Pacific. LSEG's ticker symbol is LSEG.

Our People

People are at the heart of what we do and drive the success of our business. Our culture of connecting, creating opportunity and delivering excellence shape how we think, how we do things and how we help our people fulfil their potential.

We embrace diversity and actively seek to attract individuals with unique backgrounds and perspectives. We break down barriers and encourage teamwork, enabling innovation and rapid development of solutions that make a difference. Our workplace generates an enriching and rewarding experience for our people and customers alike. Our vision is to build an inclusive culture in which everyone feels encouraged to fulfil their potential.

As a global organisation spanning 70 countries and one rooted in a culture of growth, opportunity, diversity and innovation, LSEG is a place where everyone can grow, develop and fulfil your potential with meaningful careers.

Purpose of the role

An exciting opportunity exists for an experienced and dynamic Senior Compliance Manager to join the Digital and Securities Market (DSM) Compliance team supporting the Digital Markets Infrastructure business (DMI). The team supports the DSM businesses of London Stock Exchange Group (LSEG), providing oversight, guidance and challenge to ensure a robust compliance framework is maintained.

LSEG's DMI business represents the next generation market infrastructure architecture, built on distributed ledger technology (DLT) to bring interoperability, transparency and operational efficiency into private market workflows. DMI is seeking to expand globally, including in the US, subject to achieving the required regulatory approvals. The successful candidate will lead core compliance activity for DMI's U.S. broker dealer programme and fulfil supervisory duties as a Series 24 qualified principal. In the initial stage, the role will involve reviewing new business proposals against U.S. regulatory requirements and acting as the primary point of contact with FINRA and the SEC.

The core focus of the role will be to support the DMI Team, providing advice and guidance as the subject matter expert on the applicable rules and regulatory requirements of both the broker dealer and ATS regimes. The successful candidate will contribute directly to FINRA's New Member Application (NMA) process, and partner closely with product, sales, technology, and legal teams to support the firm's activities across the digital asset landscape.

The Senior Compliance Manager will provide advice and guidance on the application of the rules and regulatory requirements that apply to the digital businesses that DSM Compliance supports. They will provide challenge to the business leads where necessary, ensuring appropriate processes and controls are maintained to meet regulatory requirements alongside regulatory leadership and compliance advisory support.

Licensing Requirements

This role requires the successful candidate to hold the following U.S. securities licences to support regulated activity, and supervisory responsibilities within the U.S. broker dealer framework:

• FINRA Series 24 - General Securities Principal
  Required for supervisory oversight of business development activities, including review and approval of firm communications, supervision of regulated representatives, and maintenance and enforcement of Written Supervisory Procedures.

• The successful candidate will also be expected to participate in the FINRA NMA interview process as part of the U.S. broker dealer licensing obligations.

What you'll be doing

• Primary liaison with US regulators (SEC and FINRA), with responsibility for managing regulatory enquiries and leading firmwide preparation for and execution of regulatory examinations, including FINRA exams.

• Primary lead for regulatory filings, including Form BD, WSPs, supervisory structures, registration processes, and regulatory correspondence.

• Support the design and implementation of the compliance programme for DMI's U.S. broker dealer.

• Own key elements of the FINRA NMA, including preparation for, and participation in, the NMA interview process.

• Provide expert compliance advice on U.S. securities laws, digital assets, and emerging regulatory developments.

• Assist in the management of regulatory filings and obligations arising from arising from DMI's US broker dealer activities.

• Co-ordinating and supporting the wider DSM Compliance team as required, including rules mapping, risk assessments and the production of management information.

What you'll bring

• Relevant proven industry experience, preferably gained in securities markets Compliance. Understanding of digital assets is desirable.

• Effective communicator at all levels with excellent written and verbal communication skills.

• Pragmatic and detail-oriented, a good problem solver and able to work in a collaborative manner.

• Able to work well with other departments and develop good working relationships across the business at all levels.

• Good analytical skills and organisational skills with the ability to progress issues on a timely basis, be flexible and prioritise competing workflows.

• Experience of practical implementation of regulatory strategies and practices, in consideration of efficiencies andread-acrosswith other venues or businesses, would be desirable.

Career Stage:

Compensation/Benefits Information:

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.

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