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Role Profile

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

Reporting to the Senior Manager in APAC, the Compliance Manager, APAC will lead all aspects of the compliance framework for the business across Asia-Pacific and provide compliance advice and support to meet evolving business development. This role will be responsible for ensuring appropriate policy, processes, systems and structures are in place to run compliance with the businesses legal and regulatory obligations in APAC. In particular, this role would primarily focus across the Asia-Pacific regulatory footprint of the business including but not limited to the Monetary Authority of Singapore (MAS), Hong Kong Monetary Authority (HKMA), Hong Kong Securities and Futures Commission (HKSFC), the Australian Securities and Investments Commission, and other relevant APAC financial regulators, plus a growing focus in markets such as China, Taiwan, India, Indonesia requiring compliance guidance. This role will also have a global nexus to support multi-jurisdictional projects and workstreams.

The Compliance Manager will be responsible for supporting the following activities:

• Business Relationship: develop and maintain business division relationships across the D&A business within D&A as well as the wider LSE Group by providing timely and effective advice and developing the communication channels to ensure a two-way flow of information. Participation in regulatory projects that have a business impact, ensuring that changes are appropriately embedded in the business.
• Regulatory relationship and reporting: support relationship management with relevant regulators across the globe, particularly APAC, including regulatory ad-hoc notifications, client communications, BAU correspondence, and periodic filings.  Maintain relevant regulatory licenses within APAC and ensure all licensing requirements and obligations are met. Primary liaison with regulators including the Hong Kong SFC.
• Analysis and advice: provide compliance advisory services, but also valuable challenge & scrutiny, whilst maintaining a “trusted business partner” relationship.  Sign off on marketing materials and financial promotion materials to ensure it is in compliance with local laws and regulations.
• Regulatory strategy and change: support regulatory change projects, to ensure that the design and implementation proposed by the Business addresses regulatory risks and obligations, including leading sub-workstreams where required. Provide input into regulatory horizon scanning, including drafting responses to consultations, and collaborating with other Compliance, Legal, Risk and Government Relations teams.
• Governance and MI: prepare concise and effective MI / reports for and participate in various governance forums and committees, and be empowered to call out risks, issues, or concerns via senior colleagues and forums as appropriate. Ensure proper governance arrangements are adhered to.
• Policies: Supporting the management of compliance policies and the policy governance. Develop, review, and update the suite of regulatory policies and procedures, including providing input into business processes. design, implement and improve compliance governance and controls.  Lead and implement an effective Compliance Program for the regulated entities to ensure it operates in accordance with the licensing obligations.
• Controls: Assist in the review that Compliance controls are fit for purpose and address the regulatory requirements. Assist in detailing the outputs of the assessments and in working with the business on developing remediation plans to mitigate regulatory risks where required.
• Education and advocacy: monitor training programmes, both recurring and ad-hoc, to ensure relevant audiences, including new joiners and all relevant stakeholders remain relevant with the firm’s policies and procedures.
• Assurance and audits: enable effective assurance by supporting internal reviews and external audits of the business as required, including inputting to the risk assessment, plan, execution, and remediation of reviews. Assist the business to devise and close out on corrective action plans. Participate and assist in the identification of policy breaches and in providing appropriate reporting to management.
• Compliance Monitoring: To support a dynamic compliance environment by assisting in the development and maintenance of a comprehensive compliance monitoring and assurance programme.
• Business and Regulatory integration – oversight and direction for the integration of Hong Kong SFC Broker-Dealer compliance for trading technology solutions (i.e., TORA, OEMS) as well as outsourced trading. Liaise with the Business and Technology to ensure all policies and controls are embedded to relevant workflows. 

The Compliance Manager will need the following key behaviors and skills:

• Compliance or relevant business-related experience, which should include at least 5 years of experience working within a Financial Infrastructure firm or a Financial Services firm which should include experience in various phases of building, implementing and improving a compliance program.
• Solid experience across relevant Business, Compliance, Risk, Consulting, or Regulator roles, with an understanding of the compliance issues impacting financial services, and in particular financial market infrastructure providers. The ideal candidate will have in-depth regulatory as well as product knowledge and experience with regards to products within financial markets; be familiar with diverse APAC rules and requirements.
• Proven working knowledge of Hong Kong SFC regulations/Broker-Dealer financial regulations and themes.
• Candidate should have strong familiarity with some or all of the following asset classes: Foreign exchange, fixed income, commodities, plus derivatives such as forwards, futures, options, swaps.
• Strong communication and interpersonal skills are essential, together with the ability to work as part of a team, with a real drive to add value to the business.
• Advise and influence on managing regulatory changes, risks, and incidents.
• An analytical mind, the 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, implement effective project management, and prioritise under pressure.
• Experience in drafting policies, conducting regulatory analysis, along with preparing reports for regulatory bodies and internal management.
• Highly adept at cross functional team collaboration.
• Strong MS Office skills.
• Experience with HK SFC WINGS Portal (not necessary but preferred)

People are at the heart of what we do and drive the success of our business. Our colleagues thrive personally and expertly through our shared values of Integrity, Partnership, Change and Excellence, which are at the core of our culture. We embrace diversity and actively seek to attract people with unique backgrounds and perspectives. We are always looking at ways to become more agile, so we meet the needs of our teams and customers. We believe that an inclusive collaborative workplace is pivotal to our success and supports the potential and growth of all colleagues at LSEG.

Career Stage:

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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