Senior Analyst, Regulatory Operations

The Regulatory Operations team is responsible for all the operations of daily and regular commitments under LSE plc, LSEG FX and Turquoise’s regulatory obligations. This includes transaction reporting and all MiFID II related RTS responsibilities related to the LSE, LSEG FX and Turquoise venues. The role sits within Capital Market Operations, and we are the team for ensuring the regulatory obligations placed upon the Capital Markets Businesses are met. The team sits within the first line of defense and has a wide variety of stakeholders from Risk, Compliance, Audit, Regulatory Reporting and the Businesses themselves.

Role Description

The Senior Analyst for Regulatory Operations reports to the Assistant Manager and supports the team in keeping abreast of all LSE & Turquoise developments and their impact on operational processes relating to regulatory requirements such as MiFID II. They will support the effort in developing system enhancements and driving through change. Some of the tasks are likely to include Reconciliations, identification and remediation of exceptions and checks on Data Accuracy. They are expected to be the experts in the Regulatory Reporting support processes and will assist junior members as necessary. They will also be responsible for ensuring the enrichment, implementation and migration of data within the relevant internal systems as related to those reporting processes under the applicable RTS requirement. The scope and responsibilities of Regulatory Operations have recently increased, with the team becoming global, spanning regulations and jurisdiction across Europe, America and Asia.

Key Responsibilities:

• Running 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.
• Participation 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.
  
  

Key behaviors and skills:

• 4-5 years of knowledge and experience within Operational roles or Compliance/Regulatory roles required
• Knowledge of Equity and/or FX financial instruments required
• Worked in professional and client-focused environment where detailed processes must be followed
• Must have the ability to perform data analysis, data extraction and manipulation.
• Accuracy, attention to detail and the ability to work to deadlines whilst under pressure
• Preferred to have the ability to work with and instigate process change
• Internal systems – ability to learn quickly
• Preferred to have proven customer service skills
• Willingly puts in the effort to ensure activities completed on time and to the quality required.
• Ability to work with cross-functional teams
• Open to and willingly adopts new processes / approaches / ways of working.
• Proactive and demonstrates initiative.
  
  

This role will give the successful candidates the opportunity to develop and extend their knowledge of regulation, the opportunity to work across multiple Trading Venues covering cross product and cross asset. It will also enable them to learn more about how an Exchange works and to work in an Operational environment where people are encouraged to actively look to improve on existing processes or controls. Training will be provided to the individuals; this will be provided in a variety of forms. There will be on the job training, external vendor training, internal Compliance training and Mandatory online training.

Proud to share LSEG in the Philippines is Great Place to Work certified (Nov ’24 – Nov ’25).

Learn more about life and purpose of our company directly from Philippine colleagues’ video: Manila, Philippines | Where We Work | LSEG

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. You will be part of a collaborative and creative culture where we encourage new ideas and are committed to sustainability across our global business. You will experience the critical role we have in helping to re-engineer the financial ecosystem to support and drive sustainable economic growth. Together, we are aiming to achieve this growth by accelerating the just transition to net zero, enabling growth of the green economy and creating inclusive economic opportunity.

LSEG offers a range of tailored benefits and support, including healthcare, retirement planning, paid volunteering days and wellbeing initiatives.

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