About the role
We are the Compliance team at Forsyth Barr, a New Zealand wealth management and investment firm. We are collaborative, passionate about compliance and well regarded within the firm, and we are looking for someone who shares that passion and loves working with others.
This is a varied role. You will be reporting to the NZX Compliance Manager and help look after our compliance framework, covering obligations that apply to us as an NZX market participant and as a DIMS, FAP and MIS licence holder. You will learn from experienced compliance risk managers, and you will be trusted to get on with things.
What you will be doing
Carrying out monitoring and trade surveillance and writing up the results
Helping to manage compliance incidents and client complaints through to resolution
Keeping compliance registers up to date and preparing reports for management
Delivering compliance training and communications across the firm
Working with the FMA and other regulators when needed
Providing compliance input into projects
About you
Strong numerical skills and a good eye for detail
Not afraid of learning to undertake complex tasks
A strong work ethic and a positive attitude
Someone who gets on well with others, enjoys variety, and works proactively and independently
A tertiary qualification in law, accounting, finance or a related area
Experience in financial services is preferred, but if you have a great attitude and a genuine interest in compliance risk management, we encourage you to apply
Clear communication, including the ability to explain complex legislation in plain language
Good judgement, discretion and confidence with Excel, Word and Outlook
Who are we?
Investors have put their trust in Forsyth Barr for 90 years. We are a majority staff and New Zealand owned NZX firm, providing a full range of investment options including sharebroking, portfolio management, research and investment banking services.
Why work for us?
With 27 offices, stretching from Whangarei to Invercargill, Forsyth Barr offers staff work that is diverse and challenging to bring their best qualities to the fore. Ongoing professional development, work-life balance and competitive remuneration packages are just some of the other benefits we extend to our staff.
Send us your CV and a short cover letter by 16 November 2026.