- 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
- 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
- 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 business
- Deep 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
- 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
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Compliance Director - Allen, United States - London Stock Exchange
Description
The Risk 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
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.
Please take a moment to read this privacy notice carefully, as it describes what personal information London Stock Exchange Group (LSEG) (we) may hold about you, what it's used for, and how it's obtained, your rights and how to contact us as a data subject.
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.
