Analyst, Regulatory Controls

1 week ago

Sydney, New South Wales, Australia ANZ Banking Group Full time

Date: 31-Mar-2023

Location:
Sydney, AU

Company:
ANZ Banking Group Limited

About the role


The role will assist with the implementation, and supervision/monitoring of ANZ's OTC Derivative controls and associated market conduct rules as well as supporting the managers of regulatory reporting and controls to ensure the Global Markets business (and other business units as required) is prepared for and complies with the various regulatory reforms, such as Dodd-Frank ("Rules"), MIFID and associated G20 reporting commitments.


Role Location: 242 Pitt Street, Sydney NSW 2000

Role Type:
Permanent, Full-time

What will your day look like

This role reports directly to the Manager, Regulatory Trade Management, and the Manager, Regulatory Controls.

The following activities are your daily tasks:


The Regulatory Controls function manages the OTC Control flows implemented in BAU utilising various product systems, the bank's reporting engines and databases along with key case flow management UI suites such as Appian.

The role requires excellent knowledge of OTC products and respective work flows through the various systems, including manual processes as well as working closely with the Sydney regulatory functional teams, and the Controls team to identify, investigate and resolve issues which negate ANZ's OTC trade reporting completeness and accuracy and/or prevent ANZ from meeting its OTC regulatory obligations.

As an integral member of the controls team, you will work with the project and BAU stakeholders in performing compliance testing, analysis and reporting in line with the testing and monitoring guidelines.

The role requires the ability to identify and link matching counterparty and trade records across multiple systems as well as the ability to identify exceptions with guidelines laid out in the testing procedures.

Assisting with UAT and BVT (testing functions) across new and existing controls driven by change management implementations with detailed documentation of testing and active management of outstanding issues, this is in addition to the daily running of the controls and making sure any trade exceptions are escalated with SLA timelines

The role additionally requires engagement with a variety of stakeholders including Front Office, Middle Office, Operations, Technology, Compliance/Legal as well the Risk Management Team with the ability to identify issues, causes and risk-based remediation.

Information/analysis produced in this function will also be used by the Head of Regulatory Management to report to the COO leadership team, and be included in various other MI documents which require the presentation of ANZ's reporting data/statistics.

Additional key aspects to the role are the ability to Identify further control gaps for key risks, and assist to develop operational and technical solutions to close these gaps and deliver improvements where necessary.

The management/processing/tracking of regulatory controls and the exceptions pertaining to each control will be the keys to success.
What will you bring?


We know not everyone will bring all of the skills and experience, and at ANZ we are focused on people bringing a growth mindset to their approach to work.

Some of the skills we are looking for are below, but don't worry if you don't have all of these as learning on the job is the way we work.

But back to some of the skills

  • Tertiary qualification in Accounting, Finance or Commerce/Business (3.0 GPA or above) is preferred
Exposure to and an interest in the Regulatory landscape (with a sound knowledge of the trade lifecycle) preferred.

Ability to provide analysis and feedback on regulatory projects/initiatives with a track record of delivering regulatory change and/or process improvement to BAU.

Experience with Murex 2.11, 3.10, Wall Street, Peoplesoft, Appian, Confluence an advantage and strong Microsoft Excel (VBA), Access and SQL analytical skills preferred but not Mandatory

Ability to develop a thorough understanding of system and process flows, and work under pressure to investigate and remediate anomalies/issues identified.

Ability to detect anomalies, errors and investigate and document the associated root causes
Excellent verbal and written communication skills predicate the ability to interact with internal and external stakeholders along with the ability to work under pressure in response to specific issues
Interest in continually learning and upskilling across the regulatory landscape with an interest in technology and system workflows
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.


As a Purpose-led bank, we've committed to delivering commercial and societal outcomes across environmental sustainability, financial wellbeing and household affordability.

We deliver these su

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