Job Location: Bangalore
Team Description
The Regulatory Operations team is responsible for all the operations of daily and regular commitments under LSE plc, Turquoise, and Data & Analytics (D&A) Trading regulatory obligations. This includes transaction reporting in UK, Europe, USA, and Canada as well as all MiFID II related RTS responsibilities. The role sits within Market Operations and the team ensures that the regulatory obligations placed upon the Capital Markets Businesses are met. The team forms the first line of defence and has a wide variety of stakeholders from Risk, Compliance, Audit, Regulatory Reporting and the Businesses themselves.
Role Description
The Senior Analyst for Regulatory Operations reports to the Assistant Manager and supports the team in keeping abreast of Capital Markets Business developments and their impact on operational processes relating to regulatory requirements. They will support the effort in developing system enhancements and driving through change. Some of the tasks are likely to include reconciliations, identification and remediation of exceptions, and checks on data accuracy within underlying systems (including DTCC, the trading systems and data management systems). They are expected to be the experts in the Regulatory Reporting support processes and will assist and train junior members as necessary.
Through the integration of Refinitiv and the FX Business a large part of the responsibilities performed by the team in Bangalore will focus on supporting the FX Business and in particular meeting the relevant obligations which are applicable for these products and locations. As the scope and responsibilities of Regulatory Operations looks to grow this will become a global team spanning regulations and jurisdiction across Europe, America, and Asia.
This role will give the successful candidates the opportunity to became part of a growing team, to develop and extend their knowledge of regulation and to work across multiple Trading Venues, products and asset classes. It will also enable them to learn more about how an Exchange works and to work in an Operational environment where people are encouraged to actively look to improve on existing processes or controls. Training will be provided to the individuals in a variety of forms: on the job training, external vendor training, internal Compliance training and also mandatory online training.
Key Responsibilities:
- Running core business processes and operational activities on a day-to-day basis, proactively identifying issues, executing resolutions, and implementing process improvements
- Ensure reduction/avoidance of incorrect submissions and perform exception management, to improve overall compliance with our regulatory responsibilities
- Perform daily reconciliations to ensure completeness and accuracy of regulatory reports, and follow up with stakeholders on missed deadlines if needed
- Participation in internal projects focused on process improvement and/or Industry/Regulatory change and product launches (including the upcoming re-platforming of the FX business)
- Build a strong working relationship with colleagues around the world from the Regulatory Operations team
- Creation or enhancement of suitable procedures to articulate the processes which are performed
- Help facilitate the development and growth of the Regulatory Operations team in Bangalore
- Produce regular and ad hoc regulatory reports across all current and future regulatory obligations
- Identify and build the business case for recommendations to improve operational processes and systems
- Interface with Regulatory & Compliance Function (who manage the analysis of the Regulations)
- Interface with Technology teams for systems changes required to fulfil our responsibilities and remove manual processes for existing and new obligations
- Understand the causes and impacts of operational risks, monitor key risk indicators to proactively identify issues in advance of regulators, and manage and minimise operational risks at all times
- Perform UAT testing as required
Key behaviours and skills:
Essential
- Confident team player with good interpersonal skills and a ‘can do’ attitude
- Worked in professional and client-focused environments where detailed processes must be followed
- Confidence in managing and manipulating large volumes of data
- Ability to perform data analysis, data extraction and manipulation
- Proficient in MS Office products
- Internal systems – ability to learn quickly
Beneficial
- Knowledge and experience within Operational role
- Experience of working within a Regulatory role
- Knowledge of FX and/or Equity financial instruments
- Exposure to working with and instigating process change
- Proven customer service skills
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.
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.
At LSEG, we believe that creating a diverse and inclusive organisation is fundamental to the way we deliver on our promise of creating essential partnerships and open opportunities. Our open culture is central to how we deliver our purpose – driving financial stability, empowering economies and enabling customers to create sustainable growth – in everything we do.
Working with us means that you will be part of a dynamic organisation of 25,000 people across 70 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 any mental health or physical disability needs.
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