Compliance Process Lead

Reporting to the Team lead - Controls Services. The successful applicant will be encouraged to demonstrate their knowledge and experience across different functions/departments/processes to operate Internal controls for different processes across COO.

Role description:

• Be accountable for the Internal control operation. Ensure understanding of the internal controls, its objective, and the risk it is trying to mitigate.
• Ensure preparation/revision of standard operating procedures for respective controls as and when required.
• Ensure completion of control operation (Financial/Key/Operational) with accuracy and within defined timelines.
• Ensures responsibility of evidence gathering and storage for future retrieval purpose.
• Collaborate with customers/partners to ensure that impact of changes in the operational process is fully understood to align with its impact on the control design and operation.
• Be responsible to raise control related issues to the respective teams and ensure closure within timelines. Recommend and implement improvements to controls processes (participate in improvement/simplification projects), ensuring changes to internal controls are agreed by management and signed off by the respective customers/partners.
• Ensure that preparation, outputs, and follow-up for audits are carried out to the required standard as determined by relevant internal parties. Lead process walkthroughs to external auditors. Collect, generate and dispatch data feed access declarations (DADs).
• Organizes and attends internal meetings and supports in the preparation of responses to requests for information from various customers/partners.
  
  

Control Framework Compliance:

• Develop understanding of the LSEG Control framework and related policies and standards.
  
  

Relationship with control owners:

• Partner with control owners to ensure Control operation and monitoring. Providing regular updates on control operation status.
  
  

Relationship with 1st LOD and 2LOD :

• Partner with the 1st LOD and 2 LOD Risk to ensure the operation of Internal controls owned by CST/respective business/functions with accuracy and within defined timelines.
• Partner with 2LOD risk to ensure alignment of the Control Services processes with Group Risk standards.
  
  

Relationship with 3LOD Internal Audit:

• Partner with 3LOD Audit to provide the level of clarity expected .
  
  

Analytics and Automation: Develop relevant skills and apply them to find opportunities to use analytics and automation for the operation of controls.

Governance and reporting: Support the Team leads with preparation and reporting of MI/KRIs on scope coverage and effectiveness of the Control Services function

Experience/Skills Requirements:

• Candidate with demonstrated ability in Operations background (e.g., Order Management/AP/AR experience/BSR) will be preferred.
• Profiles with understanding of Internal control design and operation background will be an added advantage.
• Any bachelor’s degree with the proven experience and skills. Candidate should be able to connect with clarity and precision.
• Ability to multitask with organization skills.
• Ability to work independently and be a problem solver. A proven focus on continual improvement. An Innovative approach to work.
• Strong understanding of operation processes.
• Proficiency in Microsoft Office specially Excel, Word, and PowerPoint. Data Analytics skills would be an added advantage.
  
  

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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