Role profile:
Regulatory Reporting Solutions (RRS) offer services to customers in UK as an authorised UKMIR Trade Repository (TR) and Approved Reporting Mechanism (ARM) and in the EU as an authorised EMIR TR, ARM and Approved Publication Arrangement (APA).
Post Trade Solutions (PTS) combine entities, regulated and non-regulated, that offer post trade capabilities, including trade compression and risk optimisation, collateral management, facilitation of settlement, and trade routing/ pairing/ matching. The PTS entities are Quantile, Acadia, TradeAgent, and SwapAgent.
Reporting to the UK Senior Compliance Manager in the team, the role will focus on supporting the compliance framework of the RRS and PTS services, supporting the businesses as they grow/ expand and adapt to regulatory change. The Associate will work closely with the EU Senior Manager and Risk & Compliance officer in the team.
Key responsibilities:
Support monitoring RRS and PTS continuing adherence to applicable regulations and internal policies via a Compliance Monitoring Plan.
Complete management information demonstrating continued compliance.
Manage compliance procedures ensuring they are in place, and up to date.
Contribute to delivering training on specific compliance topics together with the team.
Input in regulatory projects as required by the UK Senior Manager.
Respond to regulatory enquiries in a timely way, and to a high quality.
Essential experience and skills required:
Education and Work Experience
Good educational background, ideally to degree or equivalent level with regulatory/industry qualifications
Previous exposure to regulations (e.g. FCA Handbook; EMIR reporting and/or MiFID/MiFIR transaction reporting) and managing working frameworks within a compliance team, risk team or similar.
Experience in liaising with regulatory authorities or working within a regulatory authority is desirable
Good analytical and organisational skills with the ability to progress issues on a timely basis.
Minimum of two years relevant industry experience with investment firm, regulatory authority or legal firm/consultancy.
Integrity
Flexibility to work in a dynamic, fast-paced and often unpredictable environment;
Ability to manage workload, manage priorities and deliver to deadlines
Ability to adapt working on multiple projects;
Ability to project personal credibility and expertise; and
Willingness to put in the effort to ensure activities are completed on time and to the quality required.
Partnership
Ability to work as part of a team with Product Management, IT, Sales and senior management to generate compliance solutions;
Capacity to learn quickly by working closely with other members of the team;
Good relationship management skills and an ability to maintain regular contact with business and operational teams to keep them informed of developments, progress, etc.; and
Ability to build and maintain contacts with peers and other stakeholders in the business and in the broader Group Compliance Team.
Innovation
Openness/willingness to suggest/adopt new processes/approaches/ways of working.
Excellence
Oral and written communications are tailored to their audience’s needs;
Attention to detail without losing sight of the bigger picture;
Pro-active and demonstrates initiative;
Prioritises activities according to business and operational need;
Good analytical and problem-solving skills;
Analyse issues to identify the most appropriate solution; and
Willingness to learn and stretch to acquire compliance and regulatory expertise.
Career Stage:
Senior AssociateLondon 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.
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