Chief Compliance Officer, Turquoise Europe

An exciting opportunity exists for an experienced Compliance officer to join the Digital and Securities Markets (DSM) Compliance team within the Markets Division at LSEG, to be the Chief Compliance Officer (CCO) for Turquoise Europe, based in Amsterdam.

LSEG’s DSM businesses include public markets (including the London Stock Exchange plc), the private market business, and its developing digital markets business. The CCO will be the Compliance lead for Turquoise Global Holdings Europe B.V. (‘TGHE’ or ‘Turquoise Europe’), which is a Multilateral Trading Facility (MTF) authorised and regulated by the Autoriteit Financiële Markten (AFM) of the Netherlands as an investment firm.

Reporting to the Head of DSM Compliance, the successful candidate will provide oversight, guidance and challenge to ensure a robust compliance framework is maintained and that new products and services are developed in compliance with applicable regulatory obligations. The CCO manages all compliance aspects relating to TGHE, including providing reporting to senior forums and the Board of Directors, and ensuring compliance risk matters are appropriately raised as needed.

Key Responsibilities

• Provide timely and accurate input and advice to the Turquoise business leadership team on regulatory and licensing requirements, with particular focus on MiFIR/MiFID regulatory obligations that apply to trading venues including organisational, transparency, resiliency and market orderliness provisions.
• Lead on the advice and delivery of reporting to Turquoise governance forums and divisional Compliance senior leadership on relevant regulatory matters.
• Represent the compliance function at key internal governance forums, and ensure risks are appropriately identified and mitigated as needed.
• Build and maintain TGHE’s relationship with its primary regulatory authorities, including the AFM and DNB, as well as overseas regulators, including through engaging as appropriate on new initiatives/products, responding promptly to questions or requests, and in ensuring the business meets its notification requirements.
• Support the development of commercial projects from a regulatory perspective, including obtaining regulatory permissions and licenses where required and supporting the implementation of relevant regulatory changes requirements.
• Ensure timely management of regulatory filings and notifications arising from TGHE’s regulated activities to all regulators as appropriate.
• Lead regulatory horizon scanning and regulatory change assessments as relevant to Turquoise Europe as well as broader EU regulatory change developments that may be relevant for the other Markets regulated businesses.
• Working in coordination with the wider Compliance team and compliance leads for TGHL to support team-wide functions including rules mapping, obligations and risk assessments and the production of management information.
• Potential to be a Director and Policy Maker for TGHE, subject to approval by the AFM.

Key behaviours, skills and experience

• Relevant Compliance experience within a regulated financial services firm, preferably gained in Securities markets.
• Effective communicator with excellent partner management and engagement skills.
• Pragmatic problem solver and able to work in a proactive and collegiate manner.
• Works with other departments and develops good working relationships at all levels.
• Experience of practical implementation of regulatory strategies and practices, in consideration of efficiencies and read-across with other venues or businesses.
• Experience of contributing to the day-to-day operation at Board level, and/or previous approval as a Policy Maker for AFM regulatory purposes is highly desirable.

About LSEG

LSEG is a leading global financial markets infrastructure and data provider.

Career Stage: Manager

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