Compliance & Risk (Banking & Financial Services)Full timeThe OpportunityOur client is a leader in bespoke Wealth Advisory solutions, tailored to high-net-worth individuals. Their service offering goes far beyond traditional wealth management services. They offer their clients access to a broad range of products and service offerings, both locally and globally. Their multi-award-winning products, strong focus on ESG, alternative investment strategies, and tailor-made service, sets them apart from the competition.The RoleThe Senior Compliance Officer will take ownership of the compliance operations of the business. You'll work across business units to integrate commercial and practical compliance activities into the broader wealth business and promote a robust compliance understanding and culture.This is a fantastic opportunity to join a leading Wealth Advisory and Fund Management business in Auckland's CBD.Key Responsibilities:Provide day to day compliance support to the business, and work with the teams to design and implement relevant policies and procedures to ensure that all regulatory obligations are met.Act as a primary contact point for NZ regulators and supervisors and develop and maintain a strong relationship with them, including managing regulatory reviews and reporting.Maintain overall compliance functions including the regular compliance calendar and maintaining, updating and reporting on the Compliance Assurance Programme.Deliver training sessions to ensure staff and directors are aware of and understand applicable regulatory requirements.Take the lead on all aspects of compliance with company policies and procedures, encompassing numerous checking functions of operational matters as well as regular fund reporting, Disclose website updating, client reporting, error and breach reporting, and preparation of all documentation for the Compliance Assurance Committee.Keep up to date with new legislation and regulatory requirements and guidance; conduct gap analyses and recommend and implement changes to policies and procedures to achieve best practice.Act as AML/CFT Officer.Maintain systems and policies to comply with any external requirements such as FATCA and CRS reporting and compliance.Maintain statutory documents and ensure disclosure documents and client reporting documents are at all times relevant, up to date, and in compliance with all regulatory requirements.Maintain licensing, FSPR, and other required registrations.Monthly, quarterly, annual and ad hoc reporting to supervisor and regulators.Assist with fund audits and associated information requests.Prepare compliance reports for the Board and its committees.About YouYou'll have at least 5 years of compliance experience in a regulated financial institution, with strong knowledge of FMCA and regulations, FMA minimum standards, and ideally, MIS, DIMS, and FAP licence obligations. In addition, you'll have strong knowledge of AML/CFT Act, Privacy Act, Fair Trading Act, and other relevant regulatory requirements and the ability to interpret and implement these regulations in a practical and effective manner. You'll have high integrity and be values-driven. You'll work with internal and external stakeholders to implement and promote a compliance culture. You have excellent communication skills and the ability to influence and motivate others to achieve successful regulatory outcomes.For more information and a confidential discussion, contact Will Brown at Bureau, on 021 242 0344 or apply online.
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