Nz Regulatory Change

3 weeks ago

Hamilton, New Zealand Rabobank Full time

Job Overview & Purpose:
The Regulatory Affairs Analyst works with the Senior Managers Compliance; Projects, Regulatory Affairs and Treating Clients Fairly to support these roles with the ongoing regulatory requirements across Rabobank, including but not limited to regulatory affairs, projects (including regulatory change) and Treating Client Fairly (TCF).

The role is primarily responsible for supporting the Senior Managers with the following activities which includes, but is not limited to:

- Track and monitor regulatory developments.
- Secretariat for related forums compiling minutes and managing initiatives and actions as required
- Manage obligation registers (including prudential) processes and attestation procedures.
- Support TCF (Fair Conduct Program) and compliance project related initiatives.
- Provide ongoing support and training with Compliance-related policy maintenance (including, as required, localisation of global policies and standards e.g. Local Policy on TCF).
- Co-ordinate compliance papers associated with quarterly Board Risk Management Committee, Risk Management Committees and sub risk management committees.
- Assist with regular (and ad hoc) reporting and review requests across Regulatory Affairs, Projects and TCF (conduct) as required, including compliance information and data requests and complaint, incident reviews.
- Liaise and build relationships, not only across the wider NZ bank but also with the Regional Compliance team and Group Compliance.

Context of Job:
A key driver of the external environment in relation to Compliance is the requirements of regulators across New Zealand, primarily relating to the key areas of Treating Clients Fairly, Financial Crime Compliance, data risk, prudential control, privacy etc.

The level of regulation impacting Rabobank New Zealand continues to grow. As regulators increase their levels of oversight, there is an increasing need to demonstrate the effectiveness of the compliance management framework.

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

Reporting functionally to Chief Compliance Officer, the role is expected to be able to support and co-ordinate independently the key activities, seeking guidance and support when needed.

Key Responsibilities and Accountabilities:

- Maintain Rabobank’s regulatory change management framework.
- Proactively identify and signal emerging trends in regulatory developments.
- Support regulatory related forums and initiatives, including acting as secretariat and liaising with Compliance (both Local and Regional) and other business units as required.
- Manage Obligation registers (including prudential) and associated procedures including attestation process.
- Support TCF (Fair Conduct Program), including regulatory submissions and Project related initiatives
- Maintain related policies, standards, procedures and processes to support key activities of the role
- Assist with preparing reports for Head Office, management committees and the Board of Directors for Regulatory Affairs, Projects and TCF.
- Active involvement in compliance training and development activities, promoting risk awareness and active risk management.
- Other duties as directed to support the Compliance team and function.

General

Uphold the Rabobank Values, behaviour, Code of Conduct and Treating Clients Fairly principles to deliver fair and transparent outcomes for our clients and community through our daily behaviours, practices, processes and controls.

Qualifications:

- Bachelor of Commerce / Economics / Business / Finance/ Laws or relevant industry qualification

**Experience**:

- Minimum of 3 years’ experience gained in compliance / audit / risk management related activities

Knowledge:

- Solid understanding of the New Zealand, regional and global regulatory environment and (emerging) requirements
- Understand good governance principles. (desirable).
- A high level understanding of the key regulatory obligations faced by financial services organisations e.g. privacy, AML/CTF, Sanctions, Corporations Act, Prudential requirements (desirable). Skills:
This role closes Friday 23rd June 2023.

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