Manager, Regulatory Operations

Position Summary

The Manager for Regulatory Operations reports to the Global Regulatory Operations Manager and has responsibility for the BAU Regulatory processes within that jurisdiction. They are expected to develop, enhance and support the growth of the controls and tasks undertaken for the Regulatory regimes.

The Manager is expected to take the lead on designated projects and relationships as directed by the Global Manager of Regulatory Operations. They are also expected to be an expert in the Regulatory Operations support processes and will assist junior members as necessary. They will work with Trading Venue Members and internal teams to ensure the accuracy of data within underlying systems (including the trading systems and data management systems) as related to those reporting processes under the applicable regulatory requirements.

As part of the Regulatory Operations management team, they are responsible for keeping abreast of all D&A Trading developments and their impact on operational processes relating to regulatory requirements such as periodic submissions to MAS, HKMA and ASIC. The Manager would also be expected to deputise for the Global Manager and represent the team when appropriate. Together, the Manager and Assistant Manager are responsible for overseeing the ongoing changes to processes, procedures, SLAs and operating models to deliver against regulatory obligations.

Role Reponsibilities

Team Creation- Direct responsibility for the creation of a new Regulatory Operations team responsible for the regulatory obligations in Asia Pacific- Actively stive to ensure consistency is achieved between the different Trading Hubs and Support Locations- Take a lead role in helping to build and maintain the operational oversight to help ensure Complete, Accurate and Timely Reporting- Direct responsibility managing the migration of existing processes into the Regulatory Operations team

Controls- Ownership of regular and ad hoc regulatory reports across all current and future regulatory obligations in Asia Pacific- Proactively identify issues in advance of regulators, execute resolutions, and implement process improvements- Responsible for the reduction/avoidance of incorrect submissions/rejects to improve overall compliance with our regulatory responsibilities with NCAs and other regulatory bodies- Maintain data integrity and quality standards including resolving existing data integrity and quality issues- You will know how to manage and minimise operational risks at all times through the understanding of internal and external causes and impacts of risks, and monitoring of key risk indicators

Stakeholder Management- Be the main Regulatory Reporting Interface with internal Stakeholders - Compliance, Risk, Business- Collaborate extensively with Compliance to contribute towards responses to regulatory queries from MAS, HKMA and ASIC

Change- The ability to identify and build the business case to improve operational processes, policies, and systems- Participation in internal projects focused on process improvement and/or Industry/Regulatory change and product launches (including the upcoming re-platforming of the FX business)- Take a lead role in the enhancement of existing processes and controls and/or the creation of new process and controls- Help drive the current initiative to improve our overall approach to transaction reporting- Collaborate extensively with Technology teams for systems changes required to fulfil our responsibilities and remove manual processes for existing and new obligations

Experience and Qualifications Required- Relevant industry experience (minimum 5yrs) and recent experience in a similar role- Knowledge of MAS obligations relating to a venue preferable- Knowledge of HKMA obligations relating to a venue preferable- Must be a confident team player with good interpersonal skills and a ‘can do’ attitude- Knowledge and experience in operations roles within transaction reporting- Worked in professional and client-focused environments where detailed processes must be followed- Must be able to work to deadlines and under pressure- Proven ability to work with and instigate process change- Proficient in MS Office products- Proven customer service skills- Ability to perform data analysis, data extraction and manipulation

At LSEG, we believe that creating a diverse and inclusive organisation is fundamental to the way we deliver on our promise of creating essential partnerships and open opportunities. Our open culture is central to how we deliver our purpose - driving financial stability, empowering economies and enabling customers to create sustainable growth - in everything we do.

Working with us means that you will be part of a dynamic organisation of 25,000 people across 70 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 w