Regulatory Compliance Senior Associate

at  LSEG London Stock Exchange Group

The Regulatory Compliance Senior Associate is part of the Regulatory Advisory team, who act as the primary channel for communication between our businesses and the regulators, handling applications in relation to new product initiatives as well as handling review and information requests arriving from the regulators. They are also the first point of contact when a business seeks advice about the interpretation of current or forthcoming regulations. The Regulatory Compliance Senior Associate will report to the Senior Regulatory Advisor and provide support across the team with business initiatives, regulatory requests, managing trackers information management. The role is based in the London office.
Compliance in LCH Ltd
The Compliance department is organised into two teams, the Regulatory Advisors and Core Compliance, under the Chief Compliance Officer who reports into the CEO of LCH Ltd. There is a functional reporting line into the Group Chief Compliance Officer.
Compliance ensure that the business can operate and develop within regulatory framework. The function handles LCH’s relationships with its regulators. This includes leading all aspects of compliance with reporting requirements; managing new licence and product applications; and conducting periodic assurance reviews of compliance with regulations.
The vision is to keep the firm aligned with best practice in terms of regulatory compliance. To do this we recruit and retain motivated, talented staff; deepen our relationships with regulators in all relevant jurisdictions; maintain a robust monitoring function to give senior management assurance about compliance with regulations and continually reassess our processes to innovate and find better ways of doing things.

Key Responsibilities:

• Provide flexible support to the team of Regulatory Advisors servicing the SwapClear, ForexClear, EquityClear and RepoClear business lines as well as CaLM, Collateral Operations and the Technology functions. This includes assisting with the core activities of coordinating regulatory exams and submissions and in obtaining approvals for business initiatives
• Play an active role in the development and implementation of the GRC and systems for compliance, regulatory engagement and risk management
• Assist with the ongoing provision of Compliance advice and guidance to the business, including reviewing and analysing current and proposed regulations and consultations
• Collaborate in extending the framework for monitoring and reviewing compliance with EMIR and other relevant regulations
• Draft minutes from regulatory meetings, maintain and monitor management trackers and MI
• Participate in the production of MI and the monitoring of regulatory developments
• Take on projects in Markets compliance division
• Build relationships with the business and internal partners

Candidate Profile

• Experience and skills required to be successful in the role:
• Strong experience in a compliance, legal, audit, or post trade operational environment would be desirable
• An understanding of the regulatory issues impacting market infrastructure or wholesale financial services
• Strong written and verbal communication skills and attention to detail
• Sound organisational and time management skills
• Ability to work with colleagues and clients at all levels
• Ability to take a risk-based lens to issues, think critically and ask difficult questions
• Knowledge of regulations relating to Central Counterparty Clearing would be an 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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• Provide flexible support to the team of Regulatory Advisors servicing the SwapClear, ForexClear, EquityClear and RepoClear business lines as well as CaLM, Collateral Operations and the Technology functions. This includes assisting with the core activities of coordinating regulatory exams and submissions and in obtaining approvals for business initiatives
• Play an active role in the development and implementation of the GRC and systems for compliance, regulatory engagement and risk management
• Assist with the ongoing provision of Compliance advice and guidance to the business, including reviewing and analysing current and proposed regulations and consultations
• Collaborate in extending the framework for monitoring and reviewing compliance with EMIR and other relevant regulations
• Draft minutes from regulatory meetings, maintain and monitor management trackers and MI
• Participate in the production of MI and the monitoring of regulatory developments
• Take on projects in Markets compliance division
• Build relationships with the business and internal partner