Head of Risk and Compliance

2 weeks ago

Wellington, Wellington, New Zealand FNZ Full time

As the Head of Risk and Compliance, you will play a critical role within our organisation, where you take on the responsibility and management of the day-to-day risk and compliance activities for the New Zealand business.

Reporting directly into our COO, your primary focus will be on supporting the business in meeting regulatory requirements and obligations related to our custodial business, AML obligations, and other compliance matters.

You will also play a crucial role in embedding the risk management framework for the NZ business.

The responsibilities will include:

  • Implement and maintain a robust 3 lines of defence model, including first line of defence risk management capabilities.
  • Act as AMLRO and oversee the AML/CFT requirements applicable to FNZ's business.
  • Ensure compliance with legal, regulatory, and contractual obligations, as well as relevant standards and codes of practice.
  • Develop and maintain a controls framework to limit breaches across FNZ NZ.
  • Establish a strong Risk & Compliance governance model that aligns with local regulations and Group governance models.
  • Provide compliance advice on business initiatives, new products, and services.
  • Conduct monitoring and oversight activities to ensure appropriate compliance and risk management practices.
  • Protect and maintain FNZ's reputation with clients and regulatory bodies in NZ.
  • Engage with regulators, including the FMA, and ensure timely delivery of clear MI on key risks to the business.
  • Analyse new legislation or regulatory issues, assess their impact on FNZ and customers, and facilitate successful implementation.
  • Conduct risk assessments across the business and ensure mitigation strategies are in place.
  • Provide assurance on risk management standards through regular reporting to relevant governance committees.
  • Manage local statutory and nonstatutory audits and compliance monitoring plans.
  • Manage and support the Risk and Compliance team on a daily basis, where you will lead by example and be actively involved in the 'doing' of work, as well as the delegation and management of tasks.
  • Proven experience in working in a senior leadership role within Risk & Compliance.
  • Coaching and mentoring experience with a focus on continuous team improvement.
  • Experience within the financial services industry particularly in regulated firms.
  • Deep knowledge and understanding of AML obligations in a risk and compliance focus.
  • Ability to communicate effectively with Board members and senior executives.
  • Demonstratable leadership to promote service excellence, risk management, and controls.
  • Enjoys 'doing the work', as well as leading and delegate tasks.
  • An ability to cultivate and nurture a sustainable, highperforming, positive team culture.
Why should you join us?


We offer a competitive salary, financial reward high performance and global career opportunities in the UK, Canada, Czech Republic, Australia, New Zealand or China.


As part of our team, you'll enjoy generous employee benefits, including 20 days annual leave plus an extra 6 paid days after 12 months, full health and life insurance coverage, volunteer leave, and 26 weeks of Company Paid Parental Leave.

Plus, refer a friend and receive a generous bonus. And so much more

Join us and make a difference. Be part of a team that's changing the world.

About FNZ


FNZ was founded with a mission to use cutting edge technology to open up wealth - for end investors and business partners.

That means making wealth management more accessible and personalized for all people, not just high net worth. We believe everyone can create a better life by saving, investing, and managing their money well.

FNZ has created wealth's growth platform - a global, end-to-end wealth management platform. We have merged a modern adviser and end investor experience with sophisticated investment administration and business operations. The platform includes app integrations, providing access to third-party, FNZ-delivered, or customer proprietary solutions.
For more information, please

reach out to us

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