Senior Manager Risk & Compliance Apply
Locations: Auckland, New Zealand
Time Type: Full time
Posted on: Posted 30+ Days Ago
Job Requisition ID: JR100505
Harbour's kaupapa is to be the most trusted fund manager. We continually strive to exceed our clients' expectations through service, investment performance, communication, transparency, and commitment to sustainability. As a highly successful team with a strong family culture, everyone at Harbour is focused on delivering the best possible outcomes for our clients and continuously improving. We currently manage more than NZ$8 billion for charities, iwi, superannuation funds, banks, and external financial advisers.
The Role The primary purpose of this role is to work within our Harbour Asset Management Operations and Compliance team, supporting the creation and operation of a broader risk and compliance function as we bring four existing entities together to form FirstCape.
Key Responsibilities Develop a compliance assurance plan for the business, to be updated annually. Deliver expert Compliance Risk advice and guidance to the business. Facilitate the effective deployment of, and compliance with, all operational risk management and compliance tools and frameworks and other systems required to effectively identify, measure, manage and control all business risks. Maintain a comprehensive register of all current and emerging risks having or expected to have an impact on the business (both internal and external risks). Assume primary responsibility for the identification, assessment and management of these through the implementation of risk mitigating action plans. Provide expert review and challenge of risk and compliance activity carried out by the business, that informs management and the Board as to how effectively the Compliance frameworks have been embedded. Collaborate with key stakeholders on regulatory change initiatives, entering new obligations into the FirstCape risk management tool and providing expert advice and guidance on interpretation on how to comply with new/changing obligations. Work with the business to establish a process for identifying change risk when new initiatives are introduced to the business. Contribute to the ongoing development of key compliance metrics, including risk appetite measures, and other key indicators and monitoring for compliance management effectiveness. Assist management to manage and maintain Compliance Risk Management Frameworks and related Policies. Assist management to effectively embed Compliance frameworks and policies. Manage and maintain a library of compliance obligations, including the sourcing of obligations, drafting new/ or amending existing obligations, managing and maintaining obligation records in the risk management system. Assist to support breach management processes. Contribute to the planning of (and execution of) compliance programme activities, including developing compliance education sessions, completing scheduled/periodic reviews and compliance testing. Lead a culture of risk awareness, ownership and control through upskilling and educating the business. Monitor the control environment for the business and in conjunction with the business, develop action plans to address weaknesses and ensure that these action plans are executed effectively, monitoring progress and results. Ongoing risk and compliance reporting to management and the Board on the status of the business. Managing Risk: Ensure changes to risk processes and policies are implemented. Identify causes of loss or risk. Take immediate and appropriate action to minimise day-to-day risk to business. Experience Minimum of 7+ years financial services industry experience with some exposure or experience with FMCA, MIS licensing and preferably KiwiSaver schemes. Minimum of 5+ years regulatory Risk & Compliance experience, with at least 2+ years in a Line 2 capacity. You will need to have exceptional communication skills to allow you to facilitate, influence and gain consensus at senior levels within the FirstCape Group. Sound understanding and practical exposure to risk management, compliance, regulation and associated frameworks. Experience in identifying and assessing compliance risk exposures to ensure they are being appropriately managed & provide objective challenge and advice for appropriate risk outcomes. Ability to challenge the 'status quo' and managing typical 'risk and reward' conflicts. A 'big picture thinker' with the ability to monitor, assess and manage issues across the entire business. Demonstrates a broad-based view of issues, events and activities and a perception of their longer-term impact or wider implications. What we offer Competitive compensation package commensurate with experience. Additional benefits include health insurance, wellbeing support, volunteer days and a great company culture.
We pride ourselves on offering our employees outstanding development and learning opportunities to support career growth, and the opportunity to work alongside the best talent in the market.
About Us Our team is deep in talent. We don't just hire people who are brilliant, we hire people we know will put our clients first. We attract people who have the confidence to set goals that go above and beyond what is expected, and the determination to see them through.
We will empower you to make decisions that align you to those results. Every day is an opportunity to improve, so we are always trying to be better tomorrow than we were today.
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