Head of Compliance USA Head of Compliance USA

ANZ Banking Group Limited • New York, NY

16h • Onsite

About The Position

As the Head of Compliance, USA, you will provide independent Compliance oversight across three operating entities in America: ANZ New York Branch, ANZ Cayman Islands Branch and ANZ Securities Inc. (ANZSI), collectively referred to as ANZ America. ANZ America is an institutional business delivering markets, corporate and trade finance products to investment‑grade multinational corporates and regulated financial institutions headquartered in North America. ANZSI operates as a US‑licensed broker‑dealer and the Cayman Islands Branch is a booking point for money market deposits. You will be responsible for the implementation and maintenance of high‑quality Compliance programmes across ANZ America, ensuring Group and Divisional compliance risk appetites, governance culture, and policy requirements are effectively embedded. As a key member of the US Risk team, the role supports the Chief Risk and Compliance Officer (CRCO) USA through regulatory advisory, regulatory engagement, compliance monitoring and reporting, ensuring compliance incidents and breaches are appropriately managed and escalated, and that effective compliance risk management and governance are delivered in a challenging and evolving regulatory environment. Banking is changing and we’re changing with it, giving our people great opportunities to try new things, learn and grow. Whatever your role at ANZ, you’ll be building your future, while helping to build ours.

Requirements

• Demonstrated experience working in and knowledge of the USA Regulatory environment
• Extensive experience in compliance, risk or audit (and open to consider similar experience through business governance & controls/assurance roles)
• Demonstrated experience with U.S securities regulations relevant to the broker-dealer business, preferably holding a FINRA Series 14 (Principal-level) qualification.
• Excellent working knowledge and experience in non-financial risk frameworks, methodologies, policies and practices
• Experience in executive and external stakeholder (regulator) management
• Strong collaboration and communication skills, with a demonstrated ability to build productive relationships
• Ability to challenge the status quo and bring new approaches to problem solving
• Experience in data analysis with the ability to synthesise multiple data sources to tell a coherent story
• Proactive and persistent with a continuous improvement mindset
• Proficient in compiling presentations for management

Responsibilities

• Ensure compliance with ANZ Group, ANZ America regulatory requirements through effective application of the Non‑Financial Risk frameworks.
• Provide independent second‑line oversight, review, and challenge of key compliance and non‑financial risks across the USA business, including escalation of inadequate remediation or emerging regulatory, reputational, or operational risks.
• Act as senior regulatory liaison, managing relationships and engagement with external regulators and leading regulatory inspections, communications, and change initiatives with all the regulators including but not limited to OCC, FED, FINRA and CIMA
• Monitor and assess regulatory developments in the 3 operating entities, ANZ New York Branch, Cayman Islands Branch and ANZSI, advising on impacts to the 3 distinct operating entities and institutional businesses, including associated risk implications.
• Establish and maintain policies, procedures, and processes to manage regulatory obligations, incidents, breaches, and regulatory change effectively and on a timely basis.
• Influence business decision‑making to embed risk awareness and compliance considerations while supporting commercial objectives.
• Provide compliance leadership, expertise, and input into governance forums, training programs, and stakeholder discussions.
• Collaborate with first‑line teams and SMEs to support effective implementation of non‑financial risk frameworks and compliance obligations, promoting consistent advice, strong risk culture, and adherence to ANZ values.
• As Country Risk Theme Officer, provide clear advice on requirements for the business to accurately capture and understand its regulatory obligations and implement appropriate controls to meet those obligations.
• Perform all necessary functions of the Country Risk Theme Officer defined under ANZ’s NFR Framework, including monitoring and reporting of risks to relevant governance forums and escalation to Divisional Risk Forums where required.

Benefits

• resources, opportunities, and support you need to take the next big step in your career.
• range of flexible working arrangements, so our people can 'make work, work for them'.
• access to health and wellbeing services
• discounts on selected products and services from ANZ and more.
• part of an organisation where the different backgrounds, perspectives and life experiences of our people are celebrated.

What This Job Offers

• Job Type: Full-time
• Career Level: Director
• Education Level: No Education Listed