Chief Compliance Officer, LCH Ltd

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Chief Compliance Officer, LCH Ltd

senior · Risk & Compliance

ABOUT US:

LSEG (London Stock Exchange Group) is more than a diversified global financial markets infrastructure and data business. LSEG creates possibility across the financial markets, with a commitment to excellence in delivering the services customers expect, through dedicated, open-access partners. LSEG is a systemically important part of the global financial system. It is the UK’s second largest financial services business by market capitalisation, and in the top 15 of the FTSE 100.

A major financial information provider, with extensive experience, deep knowledge, and worldwide presence, LSEG enables businesses and economies around the world to fund innovation, manage risk and create jobs. LSEG has contributed to supporting the financial stability and growth of communities and economies globally for more than 300 years.

Through a comprehensive suite of trusted financial market infrastructure services – and its open-access model – LSEG provides the flexibility, stability and trust that enable their customers to pursue their ambitions with confidence and clarity.

LSEG is headquartered in London, with significant operations in 70 countries across EMEA, North America, Latin America, and Asia Pacific. The Group has a workforce of 38,000 globally, more than half located in Asia Pacific. LSEG’s ticker symbol is LSEG.

The core values of the business are integrity, partnership, excellence, and change.

OUR PEOPLE:

People are at the heart of what we do and drive the success of our business. Our culture of connecting, creating opportunity and delivering excellence shape how we think, how we do things and how we help our people fulfil their potential.

We embrace diversity and actively seek to attract individuals with unique backgrounds and perspectives. We break down barriers and encourage teamwork, enabling innovation and rapid development of solutions that make a difference. Our workplace generates an enriching and rewarding experience for our people and customers alike. Our vision is to build an inclusive culture in which everyone feels encouraged to fulfil their potential.

We know that real personal growth cannot be achieved by simply climbing a career ladder – which is why we encourage and enable a wealth of avenues and interesting opportunities for everyone to broaden and deepen their skills and expertise.

As a global organisation spanning 70 countries and one rooted in a culture of growth, opportunity, diversity and innovation, LSEG is a place where everyone can grow, develop and fulfil your potential with meaningful careers.

ROLE OVERVIEW:

LCH Ltd is a leading global central counterparty (CCP) and a core part of the London Stock Exchange Group's (LSEG) Markets division. The firm partners with market participants worldwide to provide clearing services across a diverse range of asset classes, including interest rate swaps, fixed income, foreign exchange, equities and repos.

Operating across multiple jurisdictions, LCH combines rigorous risk management with an open-access model that provides customers with flexibility, choice and connectivity across a broad range of trading venues and markets. Through its clearing and post-trade services, LCH helps members and clients achieve greater capital, margin and operational efficiencies while supporting the resilience of the global financial system.

As Chief Compliance Officer for LCH Ltd, the role holder will report directly to the CEO and lead a team of regulatory compliance specialists, providing expert advice to senior leaders on complex regulatory matters. They will be responsible for monitoring and regularly assessing the adequacy and effectiveness of the measures put in place to minimise regulatory and compliance risk and for overseeing actions taken to address any deficiencies in compliance with regulatory obligations.

KEY RESPONSIBILITIES:

• Provide expert compliance advice and services for LCH Ltd, championing a continuous improvement culture, and ensuring the organisation complies with all applicable regulatory requirements and best practices.
• Lead an international team (some direct reports, some matrixed), setting a clear vision and strategy which aligns to the strategic objectives of LCH Ltd, and the LSEG Legal and Compliance division. 
• Administer the compliance policies and procedures established by senior management and the Board of LCH Ltd.  Develop, implement and operate such policies and procedures to cover all aspects of the LCH Ltd business’ regulatory and statutory obligations pertaining to all its regulators, products and services.
• Act as a control owner, responsible for the quality, effectiveness and performance of applicable controls for the regulatory risk being monitored by each LCH Ltd business.
• Advise and support those persons responsible for carrying out the CCP services and activities to comply with the CCP’s obligations under UKMIR (and its regulatory technical standards and implementing technical standards), and similar regulations in all jurisdictions in which LCH Ltd is licensed. Ensure that the LCH Ltd CEO and Management Team have sufficient information about the regulatory environment, current issues and actions to manage the business effectively.
• Report regularly to the Board (and sub-committees) on compliance by the CCP and its employees with applicable rules, and obligations in other jurisdictions where LCH Ltd businesses are supervised. 
• Ensure the ongoing strength, efficiency and integrity of the Company’s relationship with its regulators, and establish and maintain effective relationships with new LCH Ltd regulators and overseers. Be accountable for regulatory messaging, ensuring communications are clear, aligned and evidence-based, to avoid ambiguity, inconsistency or misinterpretation.
•  Contribute to new and existing business initiatives (including structural changes) where applications to, and/or confidence of, regulators are required, seeing the process through from first ideas to implementation, and on an ongoing basis.
• Act as a thought leader in respect of regulatory developments and manage the impact within LCH Ltd, maintaining constructive working relationships with relevant regulatory bodies and key stakeholders.

SKILLS AND EXPERIENCE:

• Degree or equivalent experience and / or relevant professional qualification
• Long term foundational compliance, risk and regulatory experience
• Experience working across divisions and cross functional market expertise
• Extensive knowledge of applicable regulatory requirements, asset classes and market function.
• Strong influencing skills, able to effectively partner with business leaders
• Comfortable working in a matrixed environment

Career Stage:

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.

Please take a moment to read this privacy notice carefully, as it describes what personal information London Stock Exchange Group (LSEG) (we) may hold about you, what it’s used for, and how it’s obtained, your rights and how to contact us as a data subject.

If you are submitting as a Recruitment Agency Partner, it is essential and your responsibility to ensure that candidates applying to LSEG are aware of this privacy notice.