Risk and Control Specialist

• JOB DESCRIPTION

LSEG Risk Intelligence is a fast growing business focused on helping the financial and business communities identify the risk associated with their business relationships, including customers, suppliers, partners and other third parties.

We have built a number of services for the global financial community to manage its regulatory and legal obligations, manage risk and combat financial crime. This is a very rare opportunity to join a business that is being built specifically to fulfil a known requirement of the regulated community, with whom we are already engaged, ensuring the Services conform to their needs.

• JOB OVERVIEW

Ensuring ongoing compliance to meet customer and regulatory requirements is part of the ‘DNA’ of our business; we are subject to ongoing assessments by customers / internal and external audit. These assessments are typically more stringent than most businesses across LSEG.

LSEG Risk Intelligence operates controls across its business as part of its Control Framework across the HR, Quality Control, Business Continuity, IT, Security and Cyber, Vendor Management. Each control is in place to ensure an important process is completed. These controls must operate effectively, not only to ensure that we will achieve ISAE 3000 or SOC attestations without any major observations but also to meet customer commitments.

This role of Risk and Control Specialist is crucial to ensuring that LSEG Risk Intelligence effectively operates its controls as they are designed to operate. This role is responsible for planning and testing controls, reviewing results and collaborating with business and technology control owners - making recommendations to close any gaps identified.

• DAY-TO-DAY RESPONSIBILITIES:

• To schedule and perform detailed planning for Monthly, Quarterly and half yearly audits
• To prepare and execute test programmes and manage the performance of assignments
• To prepare work papers and audit reports to support findings/conclusions and make recommendations for improvement where necessary
• Discuss findings / observations with stakeholders
• To follow-up on actions arising from audit assignments as required, and assist with the preparation of status reports
• To conduct training and awareness sessions with control owners / operators and LSEG Risk Intelligence staff on how to operate controls effectively
• To ensure the audit information repository is maintained and updated in a timely manner
• To contribute to the development of the Controls Framework and process through continuous personal and professional development
• Act as SME for LSEG Risk Intelligence related issues, work closely with Operations and Enablement to ensure processes are compliant with Risk and Control principles
• Work closely with external auditors during ISAE 3000 / SOC attestation or audits

• REQUIRED SKILLS:

• 5+ years experience in one of the following; Auditing / Compliance / Risk & Governance
• Experience in working independently and with management teams.
• Educated to Bachelor degree level or equivalent.
• Strong analytical, written/verbal communication, interpersonal and relationship building skills.
• Ability to analyze, compare and interpret facts and figures.
• Persistence – able to ask questions, to challenge responses if needed and ask for further detail. Not always to accept the first answer given.
• Process and detail oriented.
• Demonstrated ability to take initiative and drive projects to completion.
• Ability to adapt to change and multi-task in a dynamic environment.
• Ability to work independently and in a team environment.
• Proficiency in the use of Microsoft Office applications (Teams, Word, Excel, Outlook, Power Point and Access) required

• DESIRED SKILLS:

• 2+ year experience in / Anti Money Laundering / Financial Crime.
• No formal audit qualifications are required (though these would be considered a benefit);

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.

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.

Career Stage:

Senior Associate

London Stock Exchange Group (LSEG) Information:

Join us and be part of a team that values innovation, quality, and continuous improvement. If you're ready to take your career to the next level and make a significant impact, we'd love to hear from you.

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.

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.

You will be part of a collaborative and creative culture where we encourage new ideas. We are committed to sustainability across our global business and we are proud to partner with our customers to help them meet their sustainability objectives. Our charity, the LSEG Foundation provides charitable grants to community groups that help people access economic opportunities and build a secure future with financial independence. Colleagues can get involved through fundraising and volunteering.

LSEG offers a range of tailored benefits and support, including healthcare, retirement planning, paid volunteering days and wellbeing initiatives.

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.