Chief Compliance Officer
Il y a 7 mois
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.
Role profile:
Enter role description, team description and department description:
LCH SA is an international clearing house within the Post Trade Division of LSEG, with dynamic clearing businesses with regulatory licences in multiple jurisdictions.
Reporting to the LCH SA Head of Legal and Chief Compliance Officer, the role will support the leadership of the Compliance department within LCH SA. The role will lead a team of at least 5 Compliance Officers.
Responsibilities of the role:
- Provide leadership and direction within the LCH SA Compliance team, particularly to ensure the delivery of the annual compliance plan and the continuous satisfaction of regulatory obligations.
- Escalation point for Compliance Officers, and Management Team, within LCH SA.
- Engaging with regulators, primarily the AMF, BdF and ACPR in France, and the CFTC and SEC in the US and ensuring that all filings, reportings, and other obligations are discharged.
- Preparing management information demonstrating continued compliance, including for the LCH SA Management Team, Post Trade Leadership Team, LCH SA Board and committees.
- Act as an accountable executive for services received or provided as part of intra group arrangements.
- Engaging with business leads throughout LCH SA, including to provide strategic regulatory direction and advice on ongoing initiatives.
- Take responsibility for the implementation and delivery of regulatory control requirements,, including supervision of clearing members.
- Take responsibility for keeping abreast of regulatory changes and developments impacting the business;
- Directing regulatory projects as required, including as part of Group-wide projects.
Education and Work Experience
- Good educational background, ideally to degree or equivalent level with regulatory/industry qualifications
- Subject matter expertise on post trade services and regulation, such as clearing.
- Previous experience in liaising with regulatory authorities or within a regulatory authority
- Good analytical and organisational skills with the ability to progress issues on a timely basis.
- Good management and relationship skills, ability to drive, coordinate and motivate a team and to work with other stakeholders both within and outside the organisation. Minimum of ten 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 challenging deadlines 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 q
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