Role description, team description and department description:

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 the Senior Regulatory/Compliance Advisor will be hosted in LCH SA Compliance Department and report to the Chief Compliance Officer (CCO).

Key responsibilities of the role:

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, especially related to data and reportings requirements (EMIR, DORA, Regulation Systems Compliance and Integrity, CFTC 39.18(e)(5)) and other related projects:
  • Assess impacts in terms of data and reportings (transactions, incidents and any other mandatory reports) related to business developments including new and existing business initiatives from first ideas to implementation;
  • Contribute and drive if needed the submission file for regulatory authorisations or mandatory reports / exams and manage the regulatory processes until the authorisation / approval 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.
  • Work with other Compliance advisors, ensuring that issues are properly addressed across the board / Business Lines.
  • Define KPIs in order to follow the quality of reportings sent to Regulators; identify remediation plans to fix issues and make sure that actions are correctly implemented.
• Drive the filing for new licences, new actions requests.

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

• Contributing to regulatory submissions;
• Contributing to annual reports;
• Being the main contact on data and regulatory reports matters, including IT projects where Compliance is involved;
• Managing, centralising, and following up of regulatory interactions and queries;
• Providing 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.

• Coordinating regulatory inspections and manage inspection process until closure of corresponding recommendations;
• Analysing 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;
• Representing compliance in the various committees where compliance matters are discussed, liaise with other departments in charge of these subjects, ensure awareness;
• More generally participating to compliance transversal tasks as and when needed.

Essential experience and skills required:

Essential experience and skills required:

• 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;
• Ability to assess information critically and ensure an accurate and clear flow of information between the business and other key functions (Risk, Ops, Finance, Legal...), the compliance team and regulators;

• Pro-active and demonstrates initiative;

• Prioritises activities according to business and operational need;

• Excellent analytical, problem-solving and organisational skills with the ability to progress issues on a timely basis.

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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