LSEG (London Stock Exchange Group)
Paralegal ,
Legal & Compliance
Role Profile LSEG's Markets Division Compliance team ("Compliance") is seeking a paralegal to support key regulatory compliance initiatives that impact LCH SA, LSEG's central counterparty (CCP) incorporated in France, and TradeAgent, a LSEG post-trade matching and confirmation business for derivatives. Responsibilities include assisting with ongoing regulatory rule filings. This individual will have strong research and writing skills and a general familiarity with U.S. derivatives law and regulation. The role reports to and supports the Senior Compliance Manager based in the Chicago office.
Compliance in LCH SA and TradeAgent Compliance is responsible for ensuring that the business can provide services to market participants in accordance with all applicable regulations. This includes engaging and managing relationships with regulators, overseeing regulatory reporting requirements, managing the application process for new product and service licenses, ensuring existing licenses operate under ongoing regulatory requirements, and conducting periodic assurance reviews of compliance with regulations. LSEG aims to align the Markets Division with regulatory compliance standard methodologies by recruiting and retaining talented staff, deepening relationships with regulators, maintaining a robust monitoring function, and continually reassessing processes to streamline 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 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 incorporating regulatory feedback.
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:
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.
Familiarity with rules and regulations under the Securities Exchange Act of 1934 and the Commodity Exchange Act; familiarity with the overall regulatory rule filing process is a plus.
Compensation/Benefits Information The anticipated base salary for this position is $72,300 - $120,500. Base salary ranges may vary by geographic location. This role is eligible for our Annual Incentive Plan (AIP/"bonus plan"). Individual salary will reflect job-related knowledge, skills, and experience. LSEG benefits typically include: wellness allowances, paid time off, medical, dental, vision, flexible spending and health savings options, prescription drug plan, 401(k) with company match, life insurance, disability benefits, and other programs.
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 values are Integrity, Partnership, Excellence and Change, and they underpin our purpose and guide our decision making.
We are an equal opportunities employer and do not discriminate on basis of race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital status, veteran status, pregnancy or disability, or any other basis protected by law. We strive to accommodate religious practices and beliefs, as well as mental health or physical disability needs.
We foster a collaborative and creative culture and are committed to sustainability. We also offer a charitable foundation and opportunities for volunteering.
Please read this privacy notice carefully, describing what personal information London Stock Exchange Group (LSEG) may hold about you, how it's used, and your rights as a data subject. If you are submitting as a Recruitment Agency Partner, it is essential to ensure candidates are aware of this privacy notice.
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Legal & Compliance
Role Profile LSEG's Markets Division Compliance team ("Compliance") is seeking a paralegal to support key regulatory compliance initiatives that impact LCH SA, LSEG's central counterparty (CCP) incorporated in France, and TradeAgent, a LSEG post-trade matching and confirmation business for derivatives. Responsibilities include assisting with ongoing regulatory rule filings. This individual will have strong research and writing skills and a general familiarity with U.S. derivatives law and regulation. The role reports to and supports the Senior Compliance Manager based in the Chicago office.
Compliance in LCH SA and TradeAgent Compliance is responsible for ensuring that the business can provide services to market participants in accordance with all applicable regulations. This includes engaging and managing relationships with regulators, overseeing regulatory reporting requirements, managing the application process for new product and service licenses, ensuring existing licenses operate under ongoing regulatory requirements, and conducting periodic assurance reviews of compliance with regulations. LSEG aims to align the Markets Division with regulatory compliance standard methodologies by recruiting and retaining talented staff, deepening relationships with regulators, maintaining a robust monitoring function, and continually reassessing processes to streamline 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 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 incorporating regulatory feedback.
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:
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.
Familiarity with rules and regulations under the Securities Exchange Act of 1934 and the Commodity Exchange Act; familiarity with the overall regulatory rule filing process is a plus.
Compensation/Benefits Information The anticipated base salary for this position is $72,300 - $120,500. Base salary ranges may vary by geographic location. This role is eligible for our Annual Incentive Plan (AIP/"bonus plan"). Individual salary will reflect job-related knowledge, skills, and experience. LSEG benefits typically include: wellness allowances, paid time off, medical, dental, vision, flexible spending and health savings options, prescription drug plan, 401(k) with company match, life insurance, disability benefits, and other programs.
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 values are Integrity, Partnership, Excellence and Change, and they underpin our purpose and guide our decision making.
We are an equal opportunities employer and do not discriminate on basis of race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital status, veteran status, pregnancy or disability, or any other basis protected by law. We strive to accommodate religious practices and beliefs, as well as mental health or physical disability needs.
We foster a collaborative and creative culture and are committed to sustainability. We also offer a charitable foundation and opportunities for volunteering.
Please read this privacy notice carefully, describing what personal information London Stock Exchange Group (LSEG) may hold about you, how it's used, and your rights as a data subject. If you are submitting as a Recruitment Agency Partner, it is essential to ensure candidates are aware of this privacy notice.
#J-18808-Ljbffr