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Senior Regulatory Compliance Professional

1 week ago

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

**Job Summary**

We are seeking an experienced Senior Analyst to join our Regulatory Operations team. As a key member of the team, you will be responsible for supporting the day-to-day running of operational activities, including meeting deadlines, delivering against KPIs, and following up with clients on missed deadlines.

The successful candidate will have experience within Operational roles or Compliance/Regulatory roles and knowledge of Equity and/or FX financial instruments. You will also have the ability to perform data analysis, data extraction, and manipulation.

In this role, you will work closely with cross-functional teams to identify and implement process improvements, resolve data integrity and quality issues, and investigate process failures to mitigate risk.

  • 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.