Manager, Data & Analytics Compliance, APAC

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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 foru...

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