Senior Manager, Financial Economic Crime

3 months ago

Hamilton, New Zealand Rabobank Full time

Job Overview & Purpose:
The Senior Manager, Financial Economic Crime is responsible for providing in depth technical knowledge and expertise in relation to the Financial Economic Crime (FEC) compliance requirements driven from local legislation (AU and NZ) and Group Policy requirements (based on European and Global legislation). Specifically, the role covers the regulatory areas of Anti Money Laundering (AML)/Counter Terrorist Financing (CTF), Sanctions and Foreign Account Tax Compliance Act (FATCA)/Common Reporting Standard (CRS). Comprehension of anti-bribery and corruption legislation and fraud risk management are also desirable.

The Senior Manager is responsible for supporting the Head of Financial Economic Crime in driving and executing RANZG’s strategy to ensure a robust framework and control environment is in place to mitigate and manage the Bank’s exposure to FEC related risks.

The role will be required to act as the Compliance Subject Matter Expert (SME) on FEC related projects, support control and process remediation projects, provide technical advisory support on escalated matters and incident investigations, monitoring and impact assess regulatory change and co-ordinate regulatory engagement with AUSTRAC, ATO and law enforcement agencies, as required.

This is a senior specialist role and requires the role holder to assume hands on responsibility and direct accountability for tasks and activities allocated to them, working collaboratively with internal and external stakeholders to deliver objectives of meeting obligations and managing compliance risks within risk appetite.

The role is responsible for directly supporting the RANZG Compliance Management Team (MT) in embedding the Compliance Management Framework for FEC obligations and compliance risks, determining the strategy & direction and in leading the development, implementation and maintenance of increasing compliance requirements driven from local legislation (AU and NZ) and Group Policy requirements (based on Global and European legislation).

The Compliance Framework provides a platform for RANZG to comply with the wide range of regulatory and policy requirements. The Framework provides mechanism for compliance in areas such as Anti Money Laundering & Counter Terrorist Financing, Client Due Diligence Sanctions, Anti-Corruption, Treating Customers Fairly, Conduct & Advice, Market Abuse, Conflicts of interest and related policies and Privacy.

Context of Job:
The external environment in relation to Compliance is largely driven by the requirements of regulators across Australia and New Zealand, and in the key areas of Financial Economic Crime, Conduct of Business, Compliance Governance and Prudential Control and Licensing.

There is increasing regulation impacting RANZG with a greater need to demonstrate a robust Compliance Framework. As regulators increase their levels of oversight, there is an increasing need to demonstrate the effectiveness of the framework.

The Compliance team is also responsible for the development, maintenance and operation of Compliance policies and the Compliance management framework in line with Group requirements.

Key Responsibilities and Accountabilities:

- Responsible for the execution of the FEC framework and policy strategy and activities across New Zealand, ensuring compliance with obligations and a robust risk and control framework is designed effectively and operating. Focus will be predominantly on AML and CFT compliance, with some responsibilities in relation to fraud risk and anti-bribery and corruption risk management.
- Proactively manage and communicate compliance issues brought by changes to (FEC related) legislation and other regulatory requirements across New Zealand or relevant other jurisdictions by providing briefings/ updates to senior management and staff.
- Assist in ensuring compliance with requirements of FEC related laws, regulations and industry standards.
- Act as the FEC SME providing consultancy to projects affecting New Zealand products and processes to ensure compliance requirements are adequately assessed and controls put in place.
- Assist with the input and completion of relevant / required reports to Boards, Committees, Group, Management and Business Units as required.
- Assist with managing the methodology and implementation of ML/FT risk assessments across customers, products, channels and jurisdiction.
- Provide input and guidance to Group Policies and standards as well as undertaking gap analysis with the business when updates to new policies and standards are issued, including review of the local AML/CFT Programme.
- Act as an SME to support investigations into escalated incidents and breaches, analysing results, reporting and follow up on remedial action.
- Act as an SME to provide advisory support to the AML/CFT Compliance Officer /Business advisory LCO compliance team for escalated enquiries.
- Act as an SME to provide input into the development, and occasional

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