Investment Compliance and Risk Analyst

2 weeks ago

Auckland, Auckland, New Zealand Fisher Funds Full time

We have an exciting opportunity to work alongside respected investment professionals, gain exposure to front office functions, and investment decision-making. For those with a passion for markets, analytics, and investment strategy, there is opportunity for career progression into roles such as Investment Analyst, Portfolio Manager, or Trading Specialist.
We provide a supportive team environment, career development opportunities, and the chance to make a real impact in investment operations.

About the Role:

We are looking for an Investment Compliance and Risk Analyst to join our Investment Operations team. This role will be responsible for investment compliance monitoring, regulatory reporting, and operational risk management. You will ensure our funds remain compliant with regulatory obligations across multiple jurisdictions while proactively identifying and mitigating risk exposures. As a key member of the Investment Team, you will support compliance activities, lead risk assessments, and work closely with trading, portfolio management, and operations teams to maintain the integrity of our investment operations.

Key Responsibilities:

Investment Compliance & Regulatory Reporting

  1. Perform pre-trade and post-trade compliance monitoring to ensure adherence to scheme documents and regulatory requirements.
  2. Investigate, escalate, and resolve compliance breaches, including asset limits, concentration limits, and wholesale mandate compliance.
  3. Maintain and update compliance policies and procedures, ensuring alignment with FMA regulations, AML/CFT Act, and other regulatory frameworks.
  4. Prepare compliance and regulatory reports for internal stakeholders and regulatory authorities.
  5. Conduct Risk Level 1 assessments, ensuring the first line of defence is effectively identifying, managing, and mitigating risks within investment operations.
  6. Identify operational risks and control weaknesses, implementing improvements to reduce risk exposure.
  7. Support risk assessments and ensure the adequacy of mitigating controls within investment operations, portfolio management, and trading functions.
  8. Work with internal teams to enhance risk reporting, controls testing, and policy development.

Performance & Controls Monitoring

  1. Oversee daily compliance and performance reporting, ensuring accurate data for decision-making.
  2. Perform unit pricing validation checks, ensuring unit prices remain within agreed tolerances.

About you:

  1. 2 - 5 years experience in compliance, risk management, or investment operations within funds management, banking, or financial services.
  2. Strong knowledge of investment compliance frameworks, risk management principles, and regulatory obligations (FMA, AML/CFT, FATCA, CRS, MiFID, SEC etc.).
  3. Familiarity with pre-trade and post-trade compliance monitoring systems.
  4. Analytical mindset with strong attention to detail and problem-solving skills.
  5. Excellent communication skills, able to interact with internal and external stakeholders effectively.
  6. Qualification in finance, economics, business, or a related field.

Why Join Us?

Fisher Funds is one of New Zealand's largest specialist wealth management companies. Operating for over 25 years, we're on a mission to help Kiwis realise their ambitions by making investing accessible and enjoyable. We currently support over 500,000 ambitious Kiwis on their investment journey across KiwiSaver and Managed Funds products, with over $22 billion in funds under management. At Fisher Funds, we are committed to helping New Zealanders grow their wealth and build a better financial future. Our culture is built on trust, respect, excellence, agility, and transparency.

About Fisher Funds:

  1. Fisher Funds is one of New Zealand's largest specialist wealth management companies, operating for 25 years.
  2. We're on a mission to help Kiwis realise their ambitions by making investing accessible and enjoyable.
  3. We currently support nearly 500,000 Kiwis on their investment journey across KiwiSaver and Managed Funds products, with over $22 billion in funds under management.
  4. Our in-house investment team is one of the largest and most experienced in New Zealand investing in a range of portfolios throughout the world.
  5. We have one of the largest client services teams in New Zealand and an award-winning one at that.
  6. This is a truly collaborative, team player office where everyone is passionate about what they do and the difference they can make.
  7. Our vibrant and buzzing head office is based in Takapuna with a gorgeous deck with 180-degree views of Rangitoto and Takapuna beach

Applications close 3 April 2025. We will be reviewing applications as they are received.

For successful candidates, Fisher Funds conducts mandatory background screening in accordance with current legislation (including police and credit checks as part of our interview process). To apply for this vacancy, you also MUST be a New Zealand citizen, resident, or have already secured the right to work in New Zealand and therefore hold a valid visa.

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