Senior Regulatory/Compliance Advisor

LCH SA is an international clearing house within the Post Trade Division of LSEG, with international client outreach and fast developing complex set of businesses of critical importance. As such, LCH SA is multi regulated by three French authorities (ACPR, AMF, Banque de France), the Emir College comprising 19 European regulators and ESMA as well as by several foreign regulators (FINMA, CFTC, SEC, JFSA, ASIC, OSC, AMFQ, BOE). It is also regulated as a bank mainly by the ACPR. It has to comply with many clearing regulations such as EMIR, Dodd Frank, CCAS, MIFIR, CSDR, CCP R&R, RGAMF etc. but also banking regulations such as CRD/CRR, COMOFI, Arrêté du 3 Novembre, EBA guidelines etc

The role of Senior Regulatory Advisor will be hosted in LCH SA Compliance Department and report to LCH SA Chief Compliance Officer.

Key responsibilities of the role:

Under the responsibility of the CCO, the advisor will be required to:

• Advise and assist the business and other departments, including IT, to ensure ongoing compliance with applicable regulations, and notably:
  • Contribute to business developments including new and existing business initiatives from first ideas to implementation.
  • Drive the submission file for regulatory authorisations and manage the regulatory processes until the authorisation is obtained and ensure the follow-up for any approval condition/requirement. This includes, but is not limitative, drafting of regulatory filings/Applications memos for services changes, new services, new products, new membership.
• Drive the filing for new licences, no actions requests.

Ensure relationships with regulators (including AMF, ACPR Banque de France, SEC, CFTC and other regulators, within his perimeter, notably by:

• Preparing regulatory submissions,
• preparing annual reports,
• managing, centralising, and following up of regulatory interactions and queries
• Provide reasonable assurance that LCH SA complies, at all times, with its rules and regulations:
  • Ensure the tracking of regulatory issues/actions until formal closure from the regulators where required.
  • Report on non-compliance issues and notify incidents to regulators.

• Coordinate regulatory inspections and manage inspection process until closure of corresponding recommendations.
• Analyse new regulations impacting LCH, liaise with Government Relationship and Regulatory Strategy department to influence regulatory change, clarify, and ensure that the new regulations are adequately embedded.
• Represent compliance in the various committees where compliance matters are discussed, liaise with other departments in charge of these subjects, ensure awareness.
• More generally participate to compliance transversal tasks as and when needed.

Essential experience and skills required:

• A 6/8 years' experience preferably in financial institutions with expertise of risks and regulations related to financial products
• Strong team player
• A good general knowledge of DORA, EMIR, Arrêté 4 Novembre 2014 and banking regulations
• A proven experience in program/project management in implementation of new regulations
• Strong relationship management, interpersonal skills, excellent verbal, and written communication skills (French and English)
• Rigorous and control oriented
• Ability to manage multiple initiatives simultaneously in a dynamic environment.
• Sound judgment and strategic thinking skills
• English work experience

ABOUT US:

LSEG (London Stock Exchange Group) is more than a diversified global financial markets infrastructure and data business. We are dedicated, open-access partners with a commitment to excellence in delivering the services our customers expect from us. With extensive experience, deep knowledge and worldwide presence across financial markets, we enable businesses and economies around the world to fund innovation, manage risk and create jobs. It's how we've contributed to supporting the financial stability and growth of communities and economies globally for more than 300 years.

Through a comprehensive suite of trusted financial market infrastructure services - and our open-access model - we provide the flexibility, stability and trust that enable our customers to pursue their ambitions with confidence and clarity.

LSEG is headquartered in the United Kingdom, with significant operations in 70 countries across EMEA, North America, Latin America and Asia Pacific. We employ 25,000 people globally, more than half located in Asia Pacific. LSEG's ticker symbol is LSEG.

OUR PEOPLE:

People are at the heart of what we do and drive the success of our business. Our culture of connecting, creating opportunity and delivering excellence shape how we think, how we do things and how we help our people fulfil their potential.

We embrace diversity and actively seek to attract individuals with unique backgrounds and perspectives. We break down barriers and encourage teamwork, enabling innovation and rapid development of solutions that make a difference. Our workplace generates an enriching and rewarding experience for our people and customers alike. Our vision is to build an inclusive culture in which everyone feels encouraged to fulfil their potential.

We know that real personal growth cannot be achieved by simply climbing a career ladder - which is why we encourage and enable a wealth of avenues and interesting opportunities for everyone to broaden and deepen their skills and expertise.

As a global organisation spanning 70 countries and one rooted in a culture of growth, opportunity, diversity and innovation, LSEG is a place where everyone can grow, develop and fulfil your potential with meaningful careers.

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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