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Regulatory Operations Specialist

1 week ago

Manila, National Capital Region, Philippines LSEG (London Stock Exchange Group) Full time

**Company Overview**

LSEG (London Stock Exchange Group) is a leading global financial markets infrastructure business, committed to driving market innovation and risk management.

The Regulatory Operations team is responsible for ensuring the company's daily and regular commitments under various regulatory obligations. This includes transaction reporting and compliance with regulatory requirements such as MiFID II.

**Job Description**

As a Senior Analyst in the Regulatory Operations team, you will support the team in keeping abreast of all regulatory developments and their impact on operational processes. Your responsibilities will include reconciliations, identification and remediation of exceptions, and checks on data accuracy.

  • Key Responsibilities:
  • Run core business processes on a day-to-day basis by proactively identifying issues, executing resolutions, and implementing process improvements.
  • Support the day-to-day running of operational activities, including meeting deadlines, delivering against KPIs, and following up with clients on missed deadlines.
  • Perform Exception Management responsibilities within the Approved Reporting Mechanism for both ARM and NCA Transaction Report Rejections.
  • Ensure reduction/avoidance of incorrect submissions, rejects – to improve overall compliance with our regulatory responsibilities with NCAs and other regulatory bodies e.g. ESMA.
  • Perform daily reconciliations to ensure completeness and accuracy of Transaction Reports.
  • Support the onboarding and conformance testing of identified third-country member firms for Venue Transaction Reporting under LSE plc and Turquoise's regulatory obligations.
  • Investigate process failures and implement corrective actions to mitigate risk.
  • Support the maintenance of existing data integrity and quality standards, including resolving existing data integrity and quality issues.
  • Participate in internal projects focused on process improvement and/or Industry/Regulatory change and product launches.
  • Understand the internal and external causes and impacts of operational risks, monitor key risk indicators to proactively identify issues in advance of regulators, always manage and minimize operational risks.
  • Perform UAT testing as required.