Compliance Assistant Manager, Benchmarks

2 weeks ago

Cape Town, Western Cape, South Africa LSEG (London Stock Exchange Group) Full time

This role is part of the Benchmark & Index Solutions Compliance team (within the London Stock Exchange Group's Data and Analytics division), focusing on, but not limited to the regulatory compliance with the UK/ EU Benchmark Regulation.

The Compliance team advises the Business on the regulatory compliance matters related to the day-to-day Business operations and strategic Business initiatives across the different jurisdictions, oversees regulated index business activities of FTSE Russell and Refinitiv index administrators from the second line perspective, provides the relevant education and training, manages regulatory interactions, reports and notifications and assesses and responds to the ongoing regulatory changes.

In doing so, it collaborates closely with other regional and global compliance teams within the London Stock Exchange Group.

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

  • Regulatory interactions: Supporting the ongoing relationship with the FCA and other regulators, where applicable, including regulatory notifications and responses to regulatory enquiries
  • Analysis and advice:
Conducting regulatory analysis of incidents and complaints to provide recommendation related to regulatory notifications; responding to the day-to-day Business enquiries

  • Regulatory projects:
Supporting regulatory implementation projects from the Compliance perspective, including assessing regulatory requirements, advising on the implementation approach proposed by the Business and taking a lead on the project implementation tasks, where Compliance leads the regulatory change projects, by performing them directly or with support from the other Compliance team members

  • Monitoring and assurance:
Contributing to the ad hoc risk-based compliance reviews and reviewing remediation plans prepared by the Business; ongoing operation of the Compliance Monitoring Programme, tracking inputs and preparing Management reports

  • Governance and reporting:
Supporting the operation of governance forums run by Compliance and representing Compliance in the first line governance forums

  • Training:

Developing and maintaining training materials and delivering ad hoc compliance training to the relevant staff members on new initiatives as and when required.

Personal Qualities & Experience- Experience in Compliance, Risk, Consulting or Audit roles, with a good understanding of the compliance issues and regulations impacting financial services- Knowledge of the EU/UK Benchmark Regulation and experience working in the financial benchmarks sector would be an advantage- Ability to take a risk-based lens to issues, think critically and ask difficult questions- Ability to work with colleagues effectively at all levels- Sound organisational and time management skills- Self-motivated and ambitious individual with strong communication skills- Ability to work under tight deadlines and to prioritise under pressure


At LSEG, we believe that creating a diverse and inclusive organisation is fundamental to the way we deliver on our promise of creating essential partnerships and open opportunities.

Our open culture is central to how we deliver our purpose - driving financial stability, empowering economies and enabling customers to create sustainable growth - in everything we do.

Working with us means that you will be part of a dynamic organisation of 25,000 people across 70 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.

You will be part of a collaborative and creative culture where we encourage new ideas and are committed to sustainability across our global business.

You will experience the critical role we have in helping to re-engineer the financial ecosystem to support and drive sustainable economic growth.

Together, we are aiming to achieve this growth by accelerating the just transition to net zero, enabling growth of the green economy and creating inclusive economic opportunity.

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

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 any mental health or physical disability needs.

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