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Compliance Director - Allen, United States - Refinitiv
Description
TheRisk Intelligence Compliance Director
is an established and existing role within the Risk Intelligence division of the London Stock Exchange Group ("LSEG").
The key responsibilities of the role are to be a business partner, providing guidance and advice to senior management about all LSEG Risk Intelligence businesses with a focus on GIACT which is a regulated entity within LSEG Risk Intelligence.
The Risk Intelligence Compliance Director will be responsible for protecting LSEG Risk Intelligence, including the GIACT brand, its products and employees.
This role reports to the head of Compliance for LSEG's Data & Analytics, Risk Intelligence and FTSE Russell divisions.With respect to GIACT, this role is responsible for ensuring appropriate policy, processes, systems and structures are in place to assure compliance with GIACT's legal and regulatory obligations (in particular Fair Credit Reporting Act, Gramm Leach Bliley Act, Unfair Deceptive, or Abusive Acts or Practices and related to laws applicable to GIACT).
The role also has responsibility for policy design, drafting and submitting relevant filings, monitoring, reporting, instilling a strong compliance culture within the business and managing, advocating and evolving the relationship with all relevant regulators of GIACT.
Key responsibilities:
Strategic
Enhance and deliver a compliance strategy for the LSEG Risk Intelligence business
Drive a culture of compliance across Risk Intelligence, with a focus on GIACT
Attend relevant senior business management meetings (Risk Intelligence, GIACT and LSEG Compliance)
Deliver alignments and positive business impacts, while creating additional team capacity to allow for further scaling as the business grows
Build a robust understanding of the businesses within the Risk Intelligence and GIACT portfolio and strategic areas for expansion
Partner with the business on product developments from the onset to provide oversight to ensure offerings are within regulatory standard methodologies
Leadership & Team Management
As a senior member of the Compliance function, display outstanding leadership skills consistently among the wider team and across the organization
Ensure a strong compliance culture by influencing organizational change, lead by example
Remain organized while coordinating compliance activities across LSEG
Lead and inspire a strong compliance team to support current and future business needs and build a pipeline of talent- maintain and develop a high-performance culture
Provide career development opportunities for team members
Oversight and Advisory
Lead a highly effective Compliance function that is positioned to support the business in ensuring compliance with all key legal and regulatory obligations
Oversight of sophisticated compliance obligations and regulatory requirements of the business
Continuously improve the quality, timeliness, accuracy, relevance, content and format of compliance reporting and prepare and deliver appropriate reports for Senior Management within GIACT, Risk Intelligence and Compliance
Continuously develop, enhance, and embed a compliance framework to stay ahead of changing obligations
Lead the program to respond to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating or recommending the initiation of investigative procedures
Support the business to achieve growth targets prudently and identify, assess and control compliance related risks prior to material P&L impact
Review and challenge Senior Management on key operational and strategic decisions that may have a compliance, reputation or risk implications
Work closely with other control functions including Internal Audit, Privacy and LSEG Risk Management to ensure a comprehensive, effective and streamlined approach to risk management
Work with other functions (e.g. HR) to ensure a robust compliance education program is in place and delivered on a timely basis
Engage with regulators as and when required
6+ years of compliance experience, which should include experience in various phases of building, implementing and improving a compliance program.
Three years of which should be supporting an FCRA regulated businessDeep knowledge of FCRA, GLBA, UDAPP and related laws applicable to consumer reporting agencies
Experience with regulatory communications, e.g., disputes, complaints, audits, etc.
Experience leading a team of compliance professionals
Experience building trust and influencing across sales, technical and non-technical partners at various levels
Experience effectively prioritizing work and meeting timelines
Communication and presentation skills needed to articulate developments and to conduct effective training
Demonstrated experience issue spotting and assessing information for risk mitigatio
Preferred qualifications
Particular expertise in consumer reporting agencies that are resellers under the FCRA
Experience with the CFPB, FTC and state agencies
Privacy and data security experience.
While not required, a JD or post graduate degree or equivalent experience would be a plus
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.
If you are submitting as a Recruitment Agency Partner, it is essential and your responsibility to ensure that candidates applying to LSEG are aware of this privacy notice.
HOW TO APPLY?If you want to apply
for a job,
please click the Apply button.
You will then be redirected to our Careers sign-in page where you can enter your existing credentials or set up an account with us.
If there is nothing that currently suits you, feel free to send us your Resume/CVAbout Us
LSEG (London Stock Exchange Group) 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 culture of connecting, creating opportunity and delivering excellence shapes how we think, how we do things and how we help our people fulfil their potential.
Our organisation
Our Data & Analytics, Capital Markets and Post Trade divisions have a combined power that provides a comprehensive, integrated suite of trusted financial market infrastructure services to help our customers pursue their ambitions.
Where we work
LSEG is headquartered in the United Kingdom, with significant operations in 70 countries across Europe, the Middle East, Africa, North America, Latin America and Asia Pacific.
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