Chief Compliance Officer New Zealand

4 days ago

Hamilton, New Zealand Rabobank Full time

Job Overview & Purpose:
To proactively manage the activities of the Compliance function within Rabobank New Zealand including implementation of policies, procedures, a monitoring programme and reporting requirements.

A key advocate for compliance activities across Rabobank New Zealand, working closely with senior management to drive compliance awareness and accountability throughout the organisation in line with the agreed risk culture.

Drive the development, maintenance and operation of Compliance policies and the Compliance framework in line with Group requirements.

As the primary liaison point for regulatory affairs in New Zealand, provide support to NZ business units in their interactions with regulators. In addition, ensure all regulatory and legislative requirements are considered in the development, maintenance and operations of Compliance policies and the Compliance Framework.

The role provides experience across the breadth of RANZ and the opportunity to gain a perspective of Rabobank as a whole business. It is an excellent development role for future roles that required the ability to think holistically/strategically and influence at the highest levels of RANZ.

Context of Job:
The external environment in relation to Compliance is largely driven by the requirements of regulators across Australia, New Zealand and Europe, and in the key areas of Financial Economic Crime, Anti-Corruption, Conflicts of Interest, Market Abuse, Data Privacy, Treating Customers Fairly, Conduct and Integrity of Business and Prudential Control and Licensing.

There is increasing regulation impacting Rabobank New Zealand with a greater need to demonstrate a robust Compliance Framework. As regulators increase their levels of oversight, there 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 framework in line with Group requirements.

The Chief Compliance Officer supports the CEO New Zealand and Chief Compliance Officer Region Australia, New Zealand to ensure that the Compliance Framework is implemented in a consistent manner. The Chief Compliance Officer New Zealand has responsibility as the Local Compliance Officer (LCO) for New Zealand.

The Chief Compliance Officer New Zealand is a member of the New Zealand Leadership Team and Regional Compliance Leadership Team.

**Key Responsibilities and Accountabilities**:

- Define the approach and provide strategic direction in the management of compliance risk in line with key business objectives.
- Contribute to the compliance maturity growth of Rabobank New Zealand.
- Working with business unit leaders to incorporate compliance risk management strategies into their business strategies, and vice versa to ensure compliance with all relevant regulatory and operational requirements.
- Liaise with senior management to continuously promote a culture of compliance within Rabobank.
- Ensure there is a dedicated, effective Compliance function that acts as a second line of defence that is independent from any commercial, administrative or other control functions within the Bank in order to carry out its responsibilities freely and objectively.
- Ensuring that the Compliance function is adequately staffed by appropriately trained and competent persons who have sufficient authority to perform their role effectively.
- Developing and maintaining effective compliance governance including resources, compliance policies and standards, training and awareness programs, and providing the Board, Board Committees and senior management with regular, accurate and timely information concerning the Compliance risk profile of Rabobank New Zealand.
- Provides advice and support to enable the business analyse and understand key compliance risks, regulatory requirements and Rabobank Group compliance standards.
- Responsible for effective 2nd line oversight and monitoring of compliance risks management through development of a monitoring programme and associated annual compliance monitoring plan.
- Regulator Liaison
- Establish and maintain relationships with the Regulators and participate in industry groups.
- Manage communication with regulators in a proactive manner including providing a primary liaison point for New Zealand regulators to ensure consistency in communication and timely responses.
- Manage regulatory meetings, providing support to relevant business areas in preparation for visits and working with businesses subsequent to visits to ensure that the issues identified are appropriately addressed.
- Responsibility for the oversight of prudential obligations for New Zealand, including the development and update of registers for changes as they are identified; and monitoring to ensure ongoing compliance with licence requirements, such as RBNZ Conditions of Registration and the Banking Supervision Handbook.
- Maintaining obligations registers and co

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