Job Ref 3000788
Location Auckland CBD
Category Risk & Compliance
Type Permanent - Full Time
A Little Bit About The Company

Our client is a Premier Investment services business with a global reach and over 15 million customers. A firm with a strong brand and presence across New Zealand with a plan for continued growth and expansion.
Some More Information About The Role
Reporting into the Head of Compliance you’ll sit amongst a tight-knit team of 8 people. It’s an interesting time for the business with significant growth appearing along with many key projects for the business with high regulatory scrutiny being rolled out.

Outside of this, they will be listing on the NZX within the next 12 months and an opportunity to play a part in a significant journey.
Key tasks will include:
  • Conducting monitoring and reporting under the compliance monitoring programme;
  • Providing Compliance training and advice;
  • Interacting with FMA, NZX and other regulatory bodies as and when required;
  • Keeping up to date with developments in the industry and the regulatory environment;
  • Assisting the team with project work.  
So Who Are You & What Is Your Profile?
This role would be best suited to someone with 2 - 5 years’ experience working in the financial services industry and coming from a legal background would be highly advantageous but not essential
However, attitude is key and if you are a proactive, motivated in an existing Compliance role or a legal professional practicing and looking to transition into Compliance this could be a great opportunity for you.
Key requirements to be successful in these roles include:
  • Strong knowledge and understanding to NZ & AU regulatory requirements
  • Overview of a Compliance program including, monitoring, testing and reporting to management
  • Prior exposure to the CCCFA, FATCA, AML & CFT
  • Excellent communication, & stakeholder engagement skills
  • A tertiary qualification in law and/or commerce;
  • Prior Experience with an ASX or NZX firm would be seen as an added benefit
  • Prior exposure of dealing / interacting with the FMA is highly advantageous
This is a unique opportunity to pursue a career and gain your foot in the door with an exciting firm who are on the brink of growth ahead of an NZX listing.
If this sounds like you please get in touch with the Gareth Burton at Consult Recruitment: (09) 410 7235
  • Exciting period of growth ahead of NZX listing
  • Central Auckland with Car Park
  • Excellent development & exposure