Manager, Conduct Oversight

2 weeks ago

Sydney, New South Wales, Australia Commonwealth Bank Full time

See yourself in our team:


Institutional Banking and Markets (IB&M) is responsible for managing the Group's relationships with major corporate and government clients and institutional investors, and provides a full range of capital raising, transactional and risk management products and services.

The division also performs an important internal role for the Group by providing commodities, markets, lending and transaction banking execution capabilities to other CBA business units that allows them to capture opportunities with business customers.


The Conduct, Sustainability & Reputational Risk team is a key part of the Line 1 Non-Financial Risk & Conduct function in IB&M.

The team is tasked with supporting strong Conduct Culture across IB&M to ensure that the business drives good outcomes for clients and counterparties and protects market integrity whilst ensuring activities are sustainable and enhance the reputation of CBA.


The focus is on providing Conduct Oversight & Review to the global activities of Institutional Banking & Markets (IB&M) business.

You will be assisting the execution of the components of the Conduct strategy and governance framework across IBM that relate to market integrity, conflicts management and good customer outcomes.


Your responsibilities would also include:

  • Performing additional analysis and fact reverification on items raised by Line 1 & Line 2 Surveillance teams to determine if there is prima facia evidence that the issues can be substantiated or if further action is required. These may relate to Market Misconduct (Frontrunning, market manipulation, collusion etc), Customer outcomes (misselling, misleading information, inappropriate margins), Conflict of Interest processes (Research, Wall crossing, DCM conflicts, failure to declare conflict etc), breaches of delegations, failure to follow policy or Codes of Conduct or other potential misconduct
  • Enhance and expand existing registries and recording systems to ensure accurate and detailed records are maintained. Create and maintain metrics and indicators using this information that will inform Management via reporting and analytics
  • Undertake adhoc "deep dives" into targeted areas of concern or where greater transparency is required. Work with the business to remediate weaknesses found
  • Work with the Conduct team and other stakeholders to ensure the consequence management framework within IB&M evolves with the changing environment
  • Liaison with senior management on conduct risk issues when required
  • Ensuring emerging Conduct issues are identified and monitored and where appropriate develop or assist with action plans to ensure compliance and implementation efforts are in place
  • Take ownership of specific Conduct uplift initiatives as required
  • Assist with aspects of the development, implementation and maintenance of Conduct Risk training
  • Be a contributor to IB&M Conduct strategy including alignment with Group Regulatory & Industry guidance to provide a comprehensive and integrated conduct framework and procedures aimed at strengthening the risk management culture across IB&M. This includes;
  • Development, evaluation and reporting of conduct risk Key Risk Indicators (KRIs)
  • Governance Forum Secretariat activities as required
  • Support Complaints analysis when required

We're interested in hearing from people who have

  • A strong understanding of IB&M business lines and their products
  • Prior experience in a Line 1 or Line 2 Market Monitoring & Surveillance team in a FICC business or a Control Room
  • Working knowledge of Dealing Room is highly desirable
  • Technical skills and risk knowledge and experience. Including knowledge and/or experience of conduct risks inherent in Global Markets and Institutional Banking
  • Experience in Compliance and/or Risk Management
  • Leadership, influencing and supervisory skills
  • A commercial pragmatic mindset and the proven ability to balance Conduct imperatives and business goals
  • Ability to manage competing priorities
  • Motivated, takes initiative, drives things forward
  • Strong written and oral communication
  • Demonstrated ability to work collaboratively with colleagues in flexible and agile way.
We're aware of some accessibility issues on this site, particularly for screen reader users. We want to make finding your dream job as easy as possible, so if you require additional support please contact HR Direct on

Advertising End Date: 19/04/2024

  • Executive Manager Business Oversight Qdat

    2 weeks ago

    Sydney, New South Wales, Australia Commonwealth Bank of Australia Full time

    Executive Manager Business Oversight QDATExecutive Manager Business Oversight QDATYour BusinessInstitutional Banking and Markets (IB&M) purpose is to combine global connectivity and capability to build a better Australia. IB&M are responsible for managing the Group's relationships with major corporate and government clients and institutional investors, and...

  • Executive Manager Business Oversight Qdat

    2 weeks ago

    Sydney, New South Wales, Australia Commonwealth Bank Full time

    Executive Manager Business Oversight QDATYour BusinessInstitutional Banking and Markets (IB&M) purpose is to combine global connectivity and capability to build a better Australia. IB&M are responsible for managing the Group's relationships with major corporate and government clients and institutional investors, and provides a full range of capital raising,...

  • Registry Oversight Relationship Manager

    2 weeks ago

    Sydney, New South Wales, Australia BNP Paribas Full time

    REGISTRY OVERSIGHT RELATIONSHIP MANAGER (JOB NUMBER:C D000532)As the leading European Union bank, and one of the world's largest financial institutions with an uninterrupted presence in the region since 1860, BNP Paribas offers a wide range of financial services for corporate, institutional and private investors spanning corporate and institutional banking,...

  • Market Data Oversight Manager

    2 weeks ago

    Sydney, New South Wales, Australia Anton Murray Consulting Full time

    Sydney- Funds Management- PermanentOur client is a leading global firm with a sizeable presence in Australia. This role is the focal point of contact for local Market Data vendor relationships and manages the ongoing relationship of the outsourced Data function with the service providers.This involves monitoring the ongoing risk, performance, and daily...

  • Market Data Oversight Manager

    2 weeks ago

    Sydney, New South Wales, Australia Anton Murray Consulting Full time

    SydneyAsset ManagementPermanentOur client is a leading global firm with a sizeable presence in Australia. This role is the focal point of contact for local Market Data vendor relationships and manages the ongoing relationship of the outsourced Data function with the service providers.This involves monitoring the ongoing risk, performance, and daily...

  • Governance and Oversight Manager

    2 weeks ago

    Sydney, New South Wales, Australia Perpetual Limited Full time

    Work/life balance; we encourage employees to work where we work best- Strong heritage built on trust, integrity and stability- Dynamic Culture / Inclusive & Flexible TeamIn this role you will have the opportunity to provide support to the Governance and Oversight business to deliver an effective and best in class Outsourcing Framework which manages the...

  • Middle Office Oversight

    2 weeks ago

    Sydney, New South Wales, Australia Anton Murray Consulting Full time

    Sydney- Asset Management- PermanentThe role will be involved in assisting the Middle Office Reconciliations Oversight Senior team member, and being responsible for the Cash Forecasting function.This is a great opportunity to kick start your career in a very good working environment where internal movement and promotion is very common.Responsibilities: Assist...

  • Manager Market Risk Oversight

    2 weeks ago

    Sydney, New South Wales, Australia Westpac Banking Corporation Full time

    Manager Market Risk Oversight (Financial Markets) Permanent Sydney I Hybrid Working Traded Market Risk/ XVA focusHow will I help?This role will see you interface with a range of stakeholders to provide oversight and analysis of traded market risk activity in the Financial Markets business. You will also provide consultancy on market risk-related issues and...

  • Spdr Apac Etf Product Oversight Manager, State

    2 weeks ago

    Sydney, New South Wales, Australia State Street Full time

    Who we are looking forWe have an exciting opportunity for an ETF Product Oversight Manager to join our SPDR ETF business in the APAC region. The Product Oversight function is responsible for overseeing our ETF ecosystem and the internal and external stakeholders responsible for delivering it. Working across the APAC business the role is a key position as we...

  • Manager/senior Manager, Market Risk Oversight

    2 weeks ago

    Sydney, New South Wales, Australia EFinancialCareers Ltd. Full time

    Manager/Senior Manager, Market Risk Oversight Commonwealth Bank of Australia Sydney, Australia Manager/Senior Manager, Market Risk Oversight Commonwealth Bank of Australia Sydney, Australia Posted 1 day ago Permanent Competitive Manager/Senior Manager, Market Risk Oversight Our Traded Market Risk team provide Line 2 Oversight of Commodities Trading Book, ,...

  • Manager, Controls Oversight

    2 weeks ago

    Sydney, New South Wales, Australia Westpac Group Full time

    Max term contract ending August 2024How will I help?As a Manager, Controls Oversight you will p artner with Consumer and Business division first line teams to perform key control assessments that assist the development of a strong, effective and enduring risk management culture.Responsibilities are but not limited to:Monitor and manage the governance of...

  • Risk Manager, Market Risk Oversight

    2 weeks ago

    Sydney, New South Wales, Australia eFinancialCareers Ltd. Full time

    Risk Manager, Market Risk Oversight Westpac Banking Corporation Sydney, Australia Risk Manager, Market Risk Oversight Westpac Banking Corporation Sydney, Australia Posted 2 days ago Permanent Competitive Job DescriptionPermanentSydney I Hybrid WorkingTraded Market Risk OversightHow will I help?This role will see you interface with a range of stakeholders...

  • Manager Market Risk Oversight

    2 weeks ago

    Sydney, New South Wales, Australia Westpac Group Full time

    Permanent Sydney I Hybrid Working Traded Market Risk/ XVA focus How will I help?This role will see you interface with a range of stakeholders to provide oversight and analysis of traded market risk activity in the Financial Markets business. You will also provide consultancy on market risk-related issues and engage with the business to improve market risk...

  • Risk Manager, Market Risk Oversight

    2 weeks ago

    Sydney, New South Wales, Australia Westpac Banking Corporation Full time

    Risk Manager, Market Risk Oversight Permanent Sydney I Hybrid Working Traded Market Risk OversightHow will I help?This role will see you interface with a range of stakeholders to provide oversight and analysis of traded market risk activity in the Financial Markets business. You will also provide consultancy on market risk-related issues and engage with the...

  • Unit Registry Vendor Oversight

    2 weeks ago

    Sydney, New South Wales, Australia Anton Murray Consulting Full time

    SydneyAsset ManagementContract or TemporaryThis is an exceptional opportunity to join a leader in fund admin services in Australia. The role is a senior level appointment seeking a broad background across registry, fund admin, relationship management and vendor oversight.The role will be the Relationship Manager to manage the outsourced relationship with...

  • Risk Manager, Market Risk Oversight

    2 weeks ago

    Sydney, New South Wales, Australia Westpac Group Full time

    Permanent Sydney I Hybrid Working Traded Market Risk OversightHow will I help?This role will see you interface with a range of stakeholders to provide oversight and analysis of traded market risk activity in the Financial Markets business. You will also provide consultancy on market risk-related issues and engage with the business to improve market risk...

  • Risk Manager, Market Risk Oversight

    2 weeks ago

    Sydney, New South Wales, Australia Westpac Group Full time

    Permanent Sydney I Hybrid Working Traded Market Risk Oversight How will I help? This role will see you interface with a range of stakeholders to provide oversight and analysis of traded market risk activity in the Financial Markets business. You will also provide consultancy on market risk-related issues and engage with the business to improve market risk...

  • Analyst Capital and Counterparty Credit Risk Oversight

    2 weeks ago

    Sydney, New South Wales, Australia CommBank Full time

    Do work that matters:Treasury, Markets and Commodities Risk is the function that provides the line 2 risk oversight of the Group Treasury, Global Markets and Commodities, Trade & Carbon functions within CBA. This includes the risk domains of Market Risk, Balance Sheet Risk Management, Treasury Risk and Counterparty Credit Risk. The team includes policy...

  • Middle Office Operations Oversight Avp

    2 weeks ago

    Sydney, New South Wales, Australia Citi Australia Full time

    At Citi, our employees reflect the remarkable range of cultures and perspectives of our clients across the more than 160 countries and jurisdictions where we do business - a powerful advantage that combines global insights with deep local knowledge. We recognize that unique individuals, collaborative teams and inclusive leaders have far-reaching impact and...

  • Associate, Governance and Oversight – Corporate Trust

    2 weeks ago

    Sydney, New South Wales, Australia Perpetual Full time

    12 Month Max Term ContractProvide Third Party Oversight and Operational Due Diligence SupportWork where we work best - Hybrid office/work-from-home environmentOur corporate trust business is a leading provider of fiduciary and digital solutions to the banking and financial services industry in Australia and Singapore. It administers securitisation...