Risk and Compliance Manager - Hatch Invest Location: Wellington - New Zealand
Time Type: Full time
Posted on: 12 Days Ago
Role Description The Risk and Compliance function exists to enable the FNZ Group to safely achieve its strategic objectives and protect value; to support the growth and delivery of services and propositions to the quality our clients and regulators expect.
This role has been created in order to provide insight, oversight and challenge on risk and compliance matters. Reporting into a Risk and Compliance Senior Manager or Head of Function, this post sits within the second line of defence (2LOD) risk and compliance function and can shape the risk and compliance approach within FNZ.
Specific Role Responsibilities Manage all risk and compliance related matters. Implement and/or enhance the risk management and control framework. Enhance Risk Management policies and procedures and undertake a review of 2nd Line Risk Maturity. Drive the end-to-end implementation of regulatory changes impacting the organisation. Identify emerging risks and assist the Chief Legal, Risk and Compliance Officer FNZ Securities APAC in developing strategic solutions. Develop, present and track mandatory training requirements. Analyse new legislation, determine the impact on FNZ and its customers and liaise with business partners to ensure successful implementation. Develop and implement relevant obligation registers and control frameworks to address regulatory and other change requirements. Provide new employees with compliance and risk induction training and ensure all Training & Competence and Individual Registration documentation is completed as required. Ensure that all risk events (incidents and breaches) are investigated to determine root cause, that appropriate remedial actions are taken, that incidents are reported to clients and internal committees. Completion of monthly risk and compliance reporting to clients, boards and committees. Liaise with and provide guidance to internal and external stakeholders as required on compliance and risk related matters. Undertake any other projects/tasks as may reasonably be required to facilitate the smooth operation of the company. Work with Internal Audit, project & process governance teams, legal, delivery and the rest of the Risk and Compliance function to enhance and strengthen the controls framework. Update compliance policies and procedures & provide subject matter expertise and advice to key stakeholders within the business in line with the relevant regulatory standards. Provide oversight and challenge to Line 1 teams. Collaborate with senior leaders and Group Executive stakeholders to strengthen the Risk and Compliance framework. Experience Required Tertiary qualification or equivalent. Prior experience in internal audit, risk or compliance is required. Sound knowledge of the Financial Services industry and the related regulatory environment including, Capital Markets License requirements, AML/CFT, Privacy. Demonstrated understanding of relevant FMA licensing requirements and Guidance Standards. Sound knowledge of risk or compliance practices including KYC practices, transaction monitoring, compliance monitoring and oversight. Strong relationship management and interpersonal skills essential. Problem Solving and Analysis. Sound report writing, presentation and verbal communication skills at all organization levels. Demonstrated ability to support required behavioural and cultural change. Strong commercial acumen and pragmatic approach to driving change. Advanced user of MS Office product suite (ie, Word, Excel & PowerPoint). About FNZ and Hatch Our People and the Culture we create is what drives us. It's at the heart of who we are and everything we do. It's what inspires, excites and moves us forward. Our ambition is to create a culture for growth, one that opens limitless opportunities for our employees, customers and the wider world. At FNZ we know that great impact is only possible with great teamwork.
That's why we value the strength and diversity of thought in our global team.
The FNZ Way is the cornerstone of what we do. It is comprised of four values that set the standard for how everyone at FNZ interacts with each other, with our customers, and with all our diverse stakeholders around the world.
Customer obsessed for the long-term, Think big and make an impact, Act now and own it all the way, Challenge, commit and win together.
Read more about The FNZ Way and our values: www.fnz.com/culture Hatch is all about investing for Kiwis, no matter how little or how much they have to start with. We care deeply about being the investment platform Kiwis trust to grow meaningful wealth. To do this, we know we need to give access to world-class investments, the tools to support investors when putting their money to work, and a passionate community to connect and learn with.
#J-18808-Ljbffr
