Your new role
Reporting to the Head of Compliance, you will provide technical financial advice compliance expertise across an adviser and authorised body network.
You will work closely with advisers, Distribution, Operations and the wider Risk & Compliance team to assess compliance concerns, investigate conduct issues, manage complaints and ensure appropriate remediation. You will also help improve compliance frameworks and translate regulatory requirements into practical guidance that supports both good customer outcomes and sustainable growth.
Responsibilities
How to Apply
To apply for this position, submit your CV by following the link below. For a confidential discussion please email Chris Martin at [email protected].
Got a friend? If you know anyone that may be suitable, forward on the advert and you can get a $300 referral voucher when they are placed! Details are at: https://findrecruitment.co.nz/refer-a-friend/
Reporting to the Head of Compliance, you will provide technical financial advice compliance expertise across an adviser and authorised body network.
You will work closely with advisers, Distribution, Operations and the wider Risk & Compliance team to assess compliance concerns, investigate conduct issues, manage complaints and ensure appropriate remediation. You will also help improve compliance frameworks and translate regulatory requirements into practical guidance that supports both good customer outcomes and sustainable growth.
Responsibilities
- Manage the practical application of FMCA requirements, FAP licence conditions, the Code of Professional Conduct and disclosure obligations
- Provide practical compliance guidance around advice, disclosures, conflicts, referral arrangements and remuneration
- Assess compliance concerns arising from assurance findings, complaints, monitoring and lender referrals
- Investigate adviser conduct concerns and potential breaches, including assessing customer impact and recommending appropriate action
- Manage complaints through investigation, resolution and closure, including external dispute resolution matters where required
- Use AI tools appropriately to improve compliance analysis, reporting and processes
- Direct, hands on compliance experience within a licensed New Zealand FAP
- Strong knowledge of FMCA financial advice requirements, FAP licence conditions, the Code of Professional Conduct and disclosure obligations
- Experience working with advisers and ideally authorised bodies
- Practical experience investigating complaints, conduct concerns or potential breaches
- Auckland based hybrid working with a minimum of three days in the office
- Work directly with an experienced Head of Compliance and senior leadership team
- Small, close knit environment where you can see the impact of your work
- Genuine opportunity to combine technical compliance expertise with commercial and practical decision making
How to Apply
To apply for this position, submit your CV by following the link below. For a confidential discussion please email Chris Martin at [email protected].
Got a friend? If you know anyone that may be suitable, forward on the advert and you can get a $300 referral voucher when they are placed! Details are at: https://findrecruitment.co.nz/refer-a-friend/