The Customer Compliance Team Lead APAC opportunity will report into Global Customer Compliance Director and will guide the APAC Customer Compliance team who are responsible for conducting compliance reviews of our customers across the geographical units as the need arises and identify areas of non-compliance to terms as specified in Client Agreements. This is a function within the business with a global remit, whose primary purpose is to eliminate financial and third-party exposure both to LSEG and our Clients by the accurate licensing of services. The group works with local front-line operations as well as product and proposition businesses across LSEG.
Role Responsibilities
- Establish an area of expertise and excellence in all Data and Analytics provided Services 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
- Establish an area of expertise in usage rights defined within the LSEG Data and Analytics Master Agreements, clearly being able to apply those rights to Individual, Enterprise and Redistribution usage within different scenarios.
- Provide mentorship, guidance and direction to the team to help them meet their objectives and be responsible for new team members learning and development.
- Act as first line of escalation for matters arising from compliance reviews.
- Review reports generated by the team prior to client release.
- Take ownership for the more complex escalation cases.
- Encourage and motivate team to adhere to Global Standards and practises whilst meeting defined objectives.
- Maintain and develop questionnaires, reports and other client facing documentation used within the compliance programme.
- Take ownership for the collating regular team feedback on processes and procedures and presenting to Customer Compliance Director where changes are needed.
- Evaluate and provide feedback on team and individual contributor performance.
Relationships: Internal / External
- Always maintain autonomy to the Business.
- Ensure our clients adhere to the terms of their Agreements.
- Ensure the business closes any compliance exposure by implementing the correct licence and permissioning.
- Advise the client on data permissioning to minimise any potential exposure to either LSEG or 3rd Party licensing.
Scope and Impact:
- All clients within assigned region i.e. EMEA, Americas or APAC.
Behavioural Proficiencies:
- Excellence – driving performance and inspiring others to ensure that we are always delivering to a high standard.
- Integrity – acting responsibly to ear trust, doing what is fair and reasonable.
- Partnership – collaborating across boundaries and being customer focused.
- Change – having an inquisitive attitude and being open to new ideas.
Required Skills & Experience:
- Excellent communication skills with a demonstrable ability to communicate effectively according to the collaborators and event.
- Demonstrable experience of leading a team efficiently.
- Ability to manage own time and to prioritise multiple concurrent tasks and delegate effectively.
- Knowledge and understanding of the financial services industry including key organisation user types and process flow across clients’ businesses.
- Demonstrable knowledge of financial markets across asset classes.
- An understanding of Refinitiv Services and associated usage rights.
- 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 to draw compliance conclusions.
- Ability to prioritize and multi-task while managing many partners with differing priorities.
- Analytical and Diligent experience.
- Should have a proven track record of client exposure / engagement.
- Educated to Degree level – but not essential.
- Excellent English language skills, both written and oral.
- Second language skills are desirable but not essential.
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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