Compliance & Risk (Banking & Financial Services)
Full time
In financial services, compliance is a crucial and ever-evolving aspect of the industry, central to the governance of a financial adviser's business. Reporting to the Head of Compliance and Advice, you will play a key role in providing audit and compliance support to ensure financial advisers comply with their Financial Advice Provider (FAP) licence obligations. By developing strong relationships with our adviser members, you'll contribute to our vision of being New Zealand's market-leading management platform for financial advisers.
Office Location:
Nearby public transport routes
Paid street parking available or nearby parking buildings
Sign up to Parkable to find nearby car parks
What You'll Do
Reviewing advice to ensure it is easy to understand and delivers good outcomes.
Helping advisers deliver best practices using provided tools and processes.
Providing advisers with confidence that their advice and processes are robust.
Assisting with onboarding new advisers and delivering compliance services.
Addressing compliance-related queries from advisers, particularly regarding the documentation of advice.
Collaborating with adviser businesses to identify gaps and assist in reporting or tracking key compliance metrics.
Utilizing your strong administration skills to manage documentation, track compliance metrics, and support overall team efficiency.
What You Can Look Forward To
Joining a growing and innovative business in fintech, dedicated to going the distance for adviser members.
Being part of a small, close-knit, and supportive team.
Endless learning and development opportunities for personal and career growth.
Insurance benefits.
Newly renovated offices on the city fringe, surrounded by great lunch options and public transport.
Monthly team social events.
To Be Successful in This Role, You'll Ideally…
Be a team player with a great attitude, while also being self-motivated to work independently.
Have some client-facing experience to provide excellent service to our adviser members.
Have experience working in Personal Risk, Investment, Mortgage, or Fire & General Insurance.
Possess strong written and verbal communication skills.
Be proficient in the Google Suite.
Demonstrate strong administration skills, with attention to detail and the ability to manage multiple tasks efficiently.
Be quick to grasp and confident in navigating tech platforms.
About Us
The Adviser Platform (TAP) is a growing fintech business, offering New Zealand financial advisers a market-leading management platform. We're genuinely committed to helping independent advisers build and grow their businesses by providing all the tools, processes, and support needed to succeed in today's market.
Founded by a team with extensive experience in financial advice, TAP provides an exceptional administration support team, bespoke CRM, training, and practical regulatory and compliance advice for advisers.
Visit our website or LinkedIn to find out more:
https://tapnz.co.nz/
https://www.linkedin.com/company/the-adviser-platform/
Your application will include the following questions:
How many years' experience do you have as a Compliance Specialist?
Which of the following statements best describes your right to work in New Zealand?
Do you have experience in administration?
How many years' experience do you have in the financial services industry?
How much notice are you required to give your current employer?
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