Senior Compliance Manager, LCH Americas

Reporting jointly to the CCO’s for both LCH Ltd and LCH SA, the role will focus on ensuring the strong compliance position of these clearing agencies with US rules, acting as a contact point for regulators and supporting the business as it grows and adapts to regulatory change.  

Enter the key responsibilities of the role:

• Responsible for strategic strengthening of relationships with US Regulators, including by leading and preparing for on site examinations by US Regulators, including on site in London and Paris.

• Engaging with senior management of LCH Ltd and LCH SA businesses, in order to ensure regulatory enquiries are responded to in a timely way, and to a high quality.

• Represent the CCO’s with the business to provide subject matter expertise and in training.

• Monitoring the regulatory landscape, and providing strategic information to the business.

• Preparing and delivering training on specific compliance topics.

• Completing assurance work, as required by regulation or as a result of compliance risk assessments.  

• Keeps abreast of the impact of the latest regulatory developments on the regulated businesses/legal entities and provides advice on new regulations

• Manage a a team member primarily responsible for filing policies and other documents with regulators

 

Education and Work Experience

• Good educational background, ideally to degree or equivalent level with regulatory/industry qualifications
• Subject matter expertise on CFTC Core Principles, SEC regulation and 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.

 

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 quality required.

Partnership
• Ability to lead teams including representatives of teams such as Product Management, IT, Sales and senior management to generate compliance solutions and capacity to master technical considerations/processes in order to be able to convey them in terms that are understandable to Regulators;
• Capacity to learn quickly and educate other members of the team;

• Ability to work with other divisional compliance teams;
• Good relationship management skills and an ability to maintain regular contact with senior business and operational team members to keep them informed of developments, progress, etc.;
• Ability to build and maintain contacts at all levels of seniority; and

• Ability to manage remote relationships with teams that are in different time zones (US/EU).

Innovation
• Openness/willingness to suggest/adopt new processes/approaches/ways of working.

• Ability to connect different issues and discuss strategic solutions

Excellence
• Oral and written communications are tailored to their audience’s needs;
• Strong attention to detail without losing sight of the bigger picture;

• Ability to assess information critically and ensuring an accurate and clear flow of information between the business, the compliance team and regulators;
• Pro-active and demonstrates initiative;
• Prioritises activities according to business and operational need;
• Good analytical and problem-solving skills; and
• Analyse issues to identify the most appropriate solutions.

Compensation/Benefits Information:

LSEG is committed to offering competitive Compensation and Benefits. The anticipated base salary for this position is $120,000 - $200,200.

Please be aware base salary ranges may vary by geographic location, city and state. In addition to our offered base salary, this role is eligible for our Annual Incentive Plan (AIP/”bonus plan”). Target AIP rates will be commensurate with role level and posted career stage. Individual salary will be reflective of job related knowledge, skills and equivalent experience. LSEG roles (excluding internships and part-time roles of less than 20 hours per week) are typically eligible for inclusion in our LSEG Benefits program, which includes offerings of: Annual Wellness Allowance, Paid time-off, Medical, Dental, Vision, Flex Spending & Health Savings Options, Prescription Drug plan, 401(K) Savings Plan and Company match. LSEG’s Benefits plan also includes basic life insuran