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    Senior Compliance Controller - London, United Kingdom - Refinitiv

    Refinitiv
    Refinitiv London, United Kingdom

    4 weeks ago

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    Description
    Business Controls Officer, Data Strategy & Management page is loaded Business Controls Officer, Data Strategy & Management

    Apply locations GBR-London-5 Canada Square time type Full time posted on Posted 4 Days Ago job requisition id R The Business Control Officer (BCO) will lead the implementation of a robust risk and control framework within the business, consistent with LSEG policies and standards.

    This role will report to the Head of the Business and will co-ordinate activity across the business and centralised first line of Defence.

    Support the Head of the business to:
    Establish a strong risk culture within the Division, including risk awareness and training offering
    Ensure business processes are robust, clearly owned, and operating procedures are well documented
    Document controls to ensure a complete and accurate control inventory, including the review and challenge of relevant risk-based control testing in line with Group Framework / Guidance

    Establish first line risk processes within the Division for risk identification and assessment and to support risk-based decisions, including (but not limited to): Risk and Control Assessments, New Product and Market Approvals, Third Party Risk Management, Financial Crime Compliance, etc.

    Ensure all identified risk remediation activities identified for 'Outside Risk Tolerance' risks are escalated and tracked within relevant governance forums
    Ensure limit frameworks and KRIs are in place for controlling risk exposures with thresholds set in accordance with Group Risk Appetite and procedures established for managing breaches
    Establish local governance to support risk-based decisions by the Divisional ERC, including procedures for issue escalation and reporting of incidents and breaches
    Leading the First Line of Defence (1LOD) risk assessment and maintenance of the Risk and Control Assessment (RCA) working with central first line of defence, including ensuring effective remediation actions are identified to address control vulnerabilities
    Responsible for escalation and reporting of any ' Outside Risk Tolerance' risks which are risk accepted by the business and on-going re-assessment

    Lead 1LOD and present incident reviews on material incidents, including documentation of root cause and remediations to mitigate risk going forwards.

    Provide 1LOD expert assessment of risks associated with new strategy, new products, major projects, or overall risk profile to business stakeholders.

    Ensure self-identified Audit issues are flagged to senior management. Review Line 2 requirements and provides input into key framework design decisions at senior level to ensure the approach works for the division
    Ensure Group Risk Policies and Standards are adhered to within the Division, including coordinating attestations and policy change oversight and waiver management
    Maintain a Risk Register within the Division regularly reviewed and updated by the business
    Coordinate the risk reporting and Ml produced by the Division to support divisional leadership and Group and Divisional risk committees to perform their risk-duties

    Overall work experience of at least 10+ years in Risk Management, Framework or related areas in Financial Services Deep understanding of risk and risk management

    Previous experience of Risk Management requirements and controls to ensure compliance with external laws, internal policies, standards, regulations, and industry expectations.

    Previous stakeholder management and leadership experience.
    Self-starter with a desire to deep dive and leverage data.
    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.

    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.

    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 .

    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 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.

    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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