Markets Compliance Manager

4 days ago

Sydney, New South Wales, Australia ANZ Full time
About Us

At ANZ, we're shaping a world where people and communities thrive, driven by a common goal: to improve the financial wellbeing and sustainability of our millions of customers.

About the Role

The Manager Compliance will form part of the Institutional Operational Risk and Compliance team with a sole focus on the Compliance of the global Markets business. The role requires you to foster strong working relationships with senior business stakeholders, relevant enablement teams, internal Risk partners and external regulatory representatives. As Manager Compliance – Markets, you will ensure that the Markets business has processes in place to identify and manage compliance and regulatory risk and that these risks are identified, managed and escalated. You are expected to provide high quality advisory support and insightful reporting where required, through critical problem solving and join the dots capabilities.

Role Location: Sydney

Role Type: Permanent

What will your day look like?

This role is accountable for:

Financial:

  • Minimize losses/penalties as a result of compliance risks within Global Markets.

Customer:

  • Accountable for developing and maintaining collaborative relationships with key internal stakeholders to drive a proactive, consistent and co-ordinated approach to risk management within their specific Businesses.
  • Lead objective review and challenge of Business risk and control activities, processes, and the resultant impact on business risk profiles.
  • Provide independent insight and advice to management ensuring potential risks are appropriately considered (along with remediation and treatment strategies) and understood throughout strategic decision making and transformation processes.
  • Attend relevant business risk and governance forums, steering committee meetings and relevant meetings as required. Deliver clear opinions and required actions from management to improve risk management where required.
  • Work with operational risk team on the integration of the I.AM framework and to assist with regulatory submissions, responses and presentations. This includes ongoing management of events and involvement in business responses on action plans and/or remediation.

Process:

  • Ensure Business Units meet requirements of ANZ I.AM and Compliance frameworks and appropriate identification and management of operational risks, compliance obligations and controls.
  • Monitor risk profiles, operational risk and compliance events/reportable events, audit findings, customer complaints, control testing and QA results to identify potential compliance insights/issues and ensure appropriate responses and escalation from Businesses.
  • 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.
  • Identification and analysis of risk data to support risk-based decision-making and early identification of potential exposures.
  • Utilise data to ensure efficient and accurate reporting and insight generation, reducing manual effort where possible.
  • In partnership with Head of Compliance, Markets, champion the oversight and management of Compliance across Markets.
  • Execute 'deep dive' reviews for portfolio, ensuring thematic insights are developed and value driven output is shared with the business to uplift risk management maturity and/or improve control environment.

People:

  • Contribute to a positive and collaborative operational risk and compliance culture within the MOR&C and wider IB OR&C teams.
  • Connect externally, seek & include diverse views and data.
  • Model curiosity and continuous improvement.
  • Ask questions and encourage input to build commitment, have open and authentic conversations.

Risk/Compliance/Behaviours:

  • Ensure compliance with relevant internal and external compliance standards and policies.
  • Ensure ANZ's iCARE are always maintained in dealing with internal and external stakeholders.
  • Ensure relevant business areas/functions are living ICARE value and managing their regulatory and legal obligations.
What will you bring?

To be successful in this role, you will ideally bring the following:

  • Tertiary qualified, experience in Operational risk and/or Compliance or related disciplines.
  • Organisational knowledge and strong technical and/or industry networks (internal and external).
  • Ability to build and maintain relationships and successfully.
  • Very strong verbal and written communication skills.
  • Strong analytical and problem solving skills.
  • Data analysis skills desirable.
  • Knowledge of Institutional-wide business activities and processes (eg, financial crime, sustainable finance).

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?

From the moment you join ANZ, you'll be doing meaningful work that will shape a world where people and communities thrive.

But it's not just our customers who'll feel your impact. You'll feel it too. Because at ANZ, you'll have the resources, opportunities, and support you need to take the next big step in your career.

We're a diverse bunch at ANZ in different roles, different locations, doing different things. That's why we have a range of flexible working arrangements, so our people can 'make work, work for them'. We also provide a range of benefits including access to health and wellbeing services and discounts on selected products and services from ANZ and more.

At ANZ, you'll be part of an organisation where the different backgrounds, perspectives and life experiences of our people are celebrated. That's because we're committed to building a workplace that reflects the diversity of the communities we serve. We welcome applications from everyone and encourage you to talk to us about any adjustments you may require to our recruitment process or the role itself. If you're a candidate with a disability or access requirement, and have an enquiry about the support provided, please let us know on your application or visit ANZ Accessibility and Inclusion Programs for alternate contact methods.

To find out more about working at ANZ, visit https://www.anz.com.au/careers. You can apply for this role by visiting ANZ Careers and searching for reference number 88213.

Job Posting End Date

13/03/2025 , 11.59pm, (Melbourne Australia)

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