Senior Specialist Market Supervision

Overview

LSEG Taguig, National Capital Region, Philippines

This role will report to the Senior Manager of FX Market Surveillance. The team is responsible for assisting the business manage and mitigate regulatory and compliance risk. It is an independent function within Capital Markets and reports through LSEG Market Supervision. The team supports a variety of businesses within Refinitiv globally ranging from regulated activity to activity that has regulatory touch points.

Role Summary: The Market Surveillance Analyst role will be located in Manila and this individual will provide first class market surveillance expertise and advice to ensure LSEG’s operations, as well as regulated and unregulated activities are conducted in compliance with regulatory expectations. The role predominantly interacts with our FX MTF, FXall, Matching, RAD and Dealing platforms.

• The Firm\'s Surveillance Analyst will be responsible for surveillance and oversight.
• This list is non-exhaustive and other duties may be added from time to time:
• Monitor for improper trading behaviour such as price manipulation, spoofing, insider dealing, insider information violations, and general market abuse.
• Review platform trading activity for any violations with LSEG rulebooks, operating procedures, and/or market regulations.
• Manage surveillance platform alert output.
• Discern which alerts require further escalation.
• Present alert findings to Surveillance Review Team.
• Ensure alert risks are mitigated in a timely manner.
• Create cases associated with questionable alerts.
• Own alert case lifecycle from inception to completion.
• Work with the broader surveillance team to help build, create FRDs, beta test, and implement new alerts.
• Assist with alert calibration for new and existing modules.
• Engage in risk assessment and risk mitigation planning specifically related to LSEG trading platforms.
• Work closely with the business to develop pragmatic market surveillance solutions and opportunities while remaining cognizant of regulatory rules, obligations and expectations.
• Work seamlessly and in partnership with other members of the LSEG Compliance team globally, establishing and maintaining an effective colleagueship.
• Leveraging and partnering with other colleagues within LSEG, which include but are not limited to: IT, Onboarding, Operations, and the BU.
• Prepare management information reports for both internal and external regulatory reporting purposes.
• Assist with developing, maintaining and updating relevant regulatory policies, processes and procedures.
• Assist with ensuring and enforcing compliance with all aspects of these policies, processes and procedures when requested by the Head of Market Supervision.

• Degree or equivalent and relevant professional qualification
• Significant previous experience in internal audit or other similar corporate functions (e.g., risk/ compliance)
• Previous stakeholder management experience
• Experience at using different types of software (e.g., advanced Excel and MS Access)

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 values are Integrity, Partnership, Excellence and Change. We are an equal opportunities employer and strive to accommodate religious practices and disability needs where possible. LSEG offers a range of tailored benefits and support, including healthcare, retirement planning, paid volunteering days and wellbeing initiatives.

Please take a moment to read this privacy notice carefully, as it describes what personal information LSEG may hold about you, what it’s used for, and how to contact us as a data subject. If you are submitting as a Recruitment Agency Partner, it is essential to ensure that candidates applying to LSEG are aware of this privacy notice.