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Manager of Compliance

Location:
Wellington
Type:
Permanent / Full Time
Reference:
Wgtn18

H2R are currently looking urgently on behalf of a NZ owned Funds Management Firm, for a Manager Compliance. This is a newly created role with three direct reports.

Ideally we are wanting someone with a Legal background / qualified lawyer, Senior Associate level with knowledge and a background in Banking / Financial Services.

The Manager Compliance will need to have significant experience in the Financial Markets Conduct Act, be able to multi-task numerous responsibilities across the business in compliance and be competent at establishing new systems and processes, internal audit, product compliance and interpreting legislation and guidance notes etc.

The desired candidate will also need to be agile / somewhat ok with a reactive environment. This is due to the number of areas the organisation is involved in. Experience across Property, Insurance, Funds Management, and Securities Laws will be ideal.

The role involves:

Reporting:
 
• Preparing reports to external holders; ensuring reports are accurate, compliant with legislative and regulatory obligations;
• Produce accurate and clear communications to internal and external stakeholders;
• Ensuring that all new legislative and regulatory reporting requirements are identified and relevant processes (including data capture) are established and implemented;
• Anticipate business requirements to ensure reports and processes are accurate.

Compliance:
 
• Ensure compliance and assist with maintenance relating to the organisations FAP licence, including providing relevant advice to the FAP team;
• Monitor and assist with compliance reporting including exception reporting;
• Monitor and assist with the ongoing development of the compliance calendar;
• Monitor and assist with the ongoing development of compliance related matters;
• Identify opportunities and solutions to issues that are effective, and anticipate and mitigate any associated non-compliance;

Product Compliance:

• Management, co-ordination, preparation and completion of ongoing product compliance obligations, including co-ordination with both external and internal stakeholders;
• Management, co-ordinate and assist with the development of new products, including management and implementation of any project timelines where relevant;
• Management, co-ordination, preparation and completion of FMCA (and other relevant law) related obligations;
• Assisting with the update of disclosure documents and product collateral such as with Product Disclosure Statements, Fact Sheets and Fund Updates etc.

Qualifications required:

• Attainment of a law degree
• Current New Zealand Law Society practising certificate

If you are reading this and feel you are positioned well to succeed in such a role, please get in contact with Mike Healy ASAP on 021 337 598 or click on the Apply Now button.

Apply Now