Summary:

In this role, the team member will conduct compliance audits at our clients across all geographical units as required and to identify non compliance in the use of services as defined by the business principles for the Customer Compliance Team!

Major Responsibilities / Accountabilities:

• Establish an area of expertise and excellence in datafeeds and data control, while offering positive and proactive consultancy to our internal and external Clients on all compliance issues.

• Work with local/national units and management to identify clients for review. Plan and conduct compliance reviews ensuring the relevant client operations, systems and products environment and related business objectives are understood. Report on results of compliance reviews and audits

• Review and analyze new business principles affecting compliance issues.

• Grow your knowledge in usage rights defined within the Refinitiv Master Agreements, clearly being able to apply those rights to Individual, Enterprise and Redistribution usage within different scenarios.

• Provide support to other group members on the Enterprise Platform, Refinitiv commercials and Compliance processes.

Relationships: Internal / External

Maintain autonomy to the Business at all times.

Ensure our Clients adhere to LSEG Usage Rights.

Ensure the business closes any compliance exposure by implementing the correct licence and exchange permissioning.

Advise the client on DACS standard process permissioning to minimise any potential exposure to either Refinitiv or 3rd Party licensing.

Behavioural Competencies:

• Written Communication
• Collaborating across Boundaries
• Getting Results
• Focussing on Customers
• Inspiring Others
• Analytical Thinking
• Inquisitive mindset - "but why?"

Required Skills & Experience:

• Knowledge and understanding of the financial services industry including key organisation user types and process flow between front, mid and back office.

• An understanding of the exchanges, how they operate, how they licence the use of their data and where customers can fall foul of their terms of business.

• Experience of working for or with an Exchange in the past a distinct advantage.

• An understanding of Refinitiv product line, infrastructure and associated control systems, including sales practices, product pricing, customer administration and sales systems / processes.

• Strong verbal and written communication skills to confidently making a case from a compliance perspective, and communicating internally and externally to ensure this perspective has credibility and acted upon.

• Good analytical skills with the ability to link seemingly unrelated subjects in order to draw compliance conclusions.

• Ability to prioritize and multi-task while handling a large number of partners with differing priorities.

• Interpersonal/Team Skills: Ability to work successfully in a team environment. Communicates appropriately and effectively with team members and contacts, in and outside the company.

• Markets Data experience

• Analytical and Diligent experience

• Should have a consistent record of client exposure / engagement

Desired Skills:

• Languages other than English

• Audit Experience with other vendors or exchanges
• Audit qualifications is a plus

Education:

BA/BS or equivalent experience

Compensation/Benefits Information (New York applicants only):

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. 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 mental health or physical disability needs.

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