Paralegal,
Legal & ComplianceRole Profile LSEG's Markets Division Compliance team ("Compliance") is currently seeking a paralegal to support key regulatory compliance initiatives that impact LCH SA, the LSEG's central counterparty (CCP) incorporated in France, and TradeAgent, a LSEG's post trade matching and confirmation business for derivatives, including but not limited to assisting with ongoing regulatory rule filings.
This individual will have strong research and writing skills and a general familiarity of U.S. derivatives law and regulation. The individual will report to and support the Senior Compliance Manager based in our NYC office!
Compliance in LCH SA and TradeAgent Compliance is primarily responsible for ensuring that the business can successfully provide services to market participants in accordance with all applicable regulations. In order to succeed, Compliance is tasked with engaging and managing relationships with its global regulators. This includes overseeing compliance with regulatory reporting requirements, managing the application process for new product and service licenses and ensuring existing licenses are operating in accordance with ongoing regulatory requirements, and conducting periodic assurance reviews of compliance with regulations.
LSEG's vision is to ensure the Markets Division of LSEG remains aligned with regulatory compliance standard methodologies. To do this, we recruit and retain motivated, talented staff; deepen our relationships with regulators in all relevant jurisdictions; maintain a robust monitoring function to give senior management assurance about compliance with regulations; and continually reassess our processes to streamline our ongoing responsibilities.
Key Responsibilities:- Provide support to the LCH SA and TradeAgent businesses and their Regulatory Advisors.
- Assist in the drafting and review of SEC and CFTC rule filings, respond to SEC inquiries, manage the pipeline of required regulatory filings and liaise and coordinate with internal subject matter experts, Regulatory Advisors and the businesses, as necessary;
- Provide Compliance advice and guidance to the business, including reviewing and analyzing current and proposed regulations and consultations;
- Participate in the production of Compliance MI and monitor the pipeline of filings, including by incorporating regulatory feedback; and
- Build relationships with the business and internal stakeholders to support the Compliance mission.
Candidate Profile LSEG seeks candidates with the following essential experience and skills required to be successful in the role:
- Strong written and verbal communication capabilities and attention to detail;
- Ability to work effectively with colleagues and clients at all levels, in multiple jurisdictions;
- Sound organizational and time management skills and the ability to effectively prioritize tasks as necessary; and
- Familiarity with rules and regulations under the Securities Exchange Act of 1934 and the Commodity Exchange Act, and the overall regulatory rule filing process a plus.
Career Stage:Senior Associate
Compensation/Benefits Information:LSEG is committed to offering competitive Compensation and Benefits. The anticipated base salary for this position is $74,500 - $124,100.
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 insurance, disability benefits, emergency backup dependent care, adoption assistance commuter assistance etc.
London Stock Exchange Group (LSEG) Information:Join us and be part of a team that values innovation, quality, and continuous improvement. If you're ready to take your career to the next level and make a significant impact, we'd love to hear from you.
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 purpose is the foundation on which our culture is built. Our values of
Integrity, Partnership,
Excellence and
Change underpin our purpose and set the standard for everything we do, every day. They go to the heart of who we are and guide our decision making and everyday actions.
Working with us means that you will be part of a dynamic organisation of 25,000 people across 65 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.
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 mental health or physical disability needs.
You will be part of a collaborative and creative culture where we encourage new ideas. We are committed to sustainability across our global business and we are proud to partner with our customers to help them meet their sustainability objectives. Our charity, the LSEG Foundation provides charitable grants to community groups that help people access economic opportunities and build a secure future with financial independence. Colleagues can get involved through fundraising and volunteering.
LSEG offers a range of tailored benefits and support, including healthcare, retirement planning, paid volunteering days and wellbeing initiatives.
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