Manager Compliance

7 months ago

Melbourne, Australia ANZ Banking Group Full time

**Req ID**: 66741
**Department**: Risk Institutional - Operational Risk & Compliance
**Division**: Risk
**Location**: Melbourne
About the role

**Job Title**: Manager Compliance - Trade Surveillance
**Location**: 833 Collins Street, Docklands VIC 3008
**Role Type**: 12 month Opportunity

Stimulating and rewarding work with reach and impact across the Enterprise
Global footprint provides lots of opportunities to learn, grow and develop
People first, collaborative, values driven culture

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 like

**Customer**:
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
What will you bring?
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

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