Manager Compliance
vor 1 Monat
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Division: Risk
Location: Melbourne
About the role- Stimulating and rewarding work with reach and impact across the Enterprise
- Global footprint provides lots of opportunities to learn, grow and develop
As a Manager Compliance - Trade Surveillance, you will be responsible for leading assurance activities for ANZ’s Trade Surveillance platform including safeguarding the integrity, effectiveness and robustness of the end to end control environment. Working in conjunction with the Business, Risk and Technology teams, you will be required to conduct independent reviews to understand and mitigate various key risks (including, but not limited to Data, Technology and Business Continuity). As part of the reviews, you will be responsible for controls mapping activities while also identify opportunities for performance/efficiency improvements. This includes assurance over the adequacy of product coverage and overall control oversight for business risk owners. Where needed, you will uplift process flows, data quality/lineage, technology driven attributes and surveillance scenario logic/code, with the aim to achieve effective control performance to satisfy internal policies and regulatory expectations.
What will your day look likeCustomer:
- Foster strong working relationships with Operational Risk, Markets Governance and Technology and business teams.
- Proactively provide the business with advice and insight in relation to risk and control gaps/deficiencies in order to improve the overall design and operation of the function.
- Work collaboratively with the business owner or control owner to develop appropriate remediation plans to address control deficiencies.
Process:
- Independently review the existing end to end Trade surveillance risk and control environment to determine adequacy (including data visibility across completeness, accuracy, and timeliness attributes).
- Advise on the design and implementation of the Trade surveillance controls to monitor for conduct risk scenarios and ensuring business needs and relevant global regulatory expectations are met.
- Review logic, data, and coding for existing trade surveillance scenarios to ensure the solution delivered satisfy relevant control objectives or obligations.
- Identify and clearly communicate opportunities to enhance operational risk, compliance, and business processes to improve efficiency, effectiveness and achieve improved risk outcomes.
- Ensure early identification and active management of significant operational and compliance risks and escalate where treatment plans, remediation activities or timelines are inadequate.
- Utilise data to ensure efficient and accurate reporting and insight generation, reducing manual effort where possible.
People:
- Build collaborative relationships with key stakeholders to enable delivery of business objectives.
- Connect with relevant SME’s to seek and include diverse input as part of delivering data driven solutions.
- Strong influencing and communication needed when delivering complex messages with key stakeholders to support risk owners make informed decisions.
- Model curiosity and continuous improvement by asking questions and encouraging input to build commitment, have open and authentic conversations.
Risk/Compliance/Behaviours:
- Lead assurance activities associated with Trade surveillance replacement activities, including independent reviews of scenario, data and end to end control coverage.
- Ensuring Trade surveillance controls are adequately designed to meet relevant material risk control objectives under the I.AM Op Risk and Compliance framework.
- Assist in developing and implementing framework / methodologies for controls to support the business and ensure efficiency and ongoing visibility.
- Provide valued input into the project to ensure key operational issues are addressed
- Experience with surveillance controls particularly trade surveillance
- Understanding of SQL/Splunk programming languages
- Knowledge of Institutional Markets business activities and processes
- Strong analytical and problem-solving skills
- Very strong verbal and written communication skills
- Ability to build and maintain relationships successfully
- Knowledge of Operational Risk principles
- Knowledge of regulatory obligations relating to market misconduct and improper market practices ideally across the global regulatory landscape
- Process mapping capabilities
You’re not expected to have 100% of these skills. At ANZ a growth mindset is at the heart of our culture and we actively encourage people to try new things. So if this role interests you and you feel you have most of these things in your toolbox, we’d love to hear from you.
So, why join us?There’s something special about being part of ANZ. From the moment you join us, you’re part of a team working towards a common goal: improving the financial wellbeing and sustainability of our millions of customers. And that’s big.
But it’s not just our customers who will feel your impact. You’ll feel it too. Because at ANZ, you’ll have the resources and community you need to take the next big step in your career, towards even bigger things in the future.
You’ll also enjoy working in a diverse and inclusive workplace where the different backgrounds, perspectives and life experiences of our people are celebrated. We encourage you to talk to us about any adjustments you may require to our recruitment process or the role itself. If you are a candidate with a disability, let us know how we can provide you with additional support.
Interested in joining us? Click Apply now, or visit www.anz.com/careers to find out more or view other opportunities.
Reference number 66741.
Job Posting End Date #J-18808-Ljbffr-
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