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Senior Manager Compliance

5 months ago

Auckland City, New Zealand ASB Bank Full time

**Senior Manager Compliance - Specialist Banking Compliance**

***:
**Nau mai ki ASB.**
- At the heart of ASB is us, working together. Our Values of Caring, Passion, Integrity, United, and Courage are the characteristics that best describe who we are and what we stand for._
- ASB is on its journey to creating a 'future fit' risk team to ensure risk and compliance is at the forefront of each strategic and business objective and enabling our purpose of accelerating financial progress for all New Zealanders._

We are seeking a Senior Manager Compliance professional to support our Personal Banking division reporting to our HO Specialist Banking Compliance.

**Te tūranga | The role**:
As a Senior Manager Compliance, you will:

- Utilise my in-depth knowledge of the regulatory environment to support the business to comply with key obligations, with a focus on financial advice and Financial Advice Provider licence obligations.
- Own the management of issues and incidents from a compliance perspective and use my experience to identify potential themes, opportunities and/or areas of further investigation
- Drive the effective management and implementation of financial advice compliance and regulatory programmes of work for the Personal Banking division
- Maintain key artifacts such as the financial advice manual and SOPs.
- Advise and support the Personal Banking division on financial advice compliance matters in relation to Regulator enquiries, investigations, deep dives, thematic reviews and audits.
- Maintain best practice compliance monitoring and reporting, including regulatory returns, to ensure effective monitoring and oversight of compliance with advice standards, processes, tools, obligations, and capabilities.

**Ō pūkenga | About you**:

- Positivity and resilience
- 5-10 years banking, compliance, or legal experience. New Zealand Certificate in Financial Services, level 5 or experience as a financial adviser would be viewed favourably
- Ability to take ownership of complex tasks and deliver to agreed outcomes while keeping stakeholders appropriately engaged
- Confidence to work with multiple stakeholders across ASB departments and levels
- Experience in Compliance/Operational Risk Frameworks
- Proven ability to assess impact of regulatory change on an organisation and lead implementation of change initiatives
- Knowledge of applicable legislation to Personal Banking

**Te mahi ki ASB | Working for ASB**:
This is a great opportunity to grow and develop your career. In return, you will work for an organisation that places huge importance and focus on its people, where the sky is the limit for development and career opportunities. You will work in a successful and supportive team environment and be a part of the growth story that is ASB.

ASB is committed to fostering a culture where people are engaged, passionate and valued - living our values every day is integral to achieving our purpose.

We offer flexible and supportive work environment; we help people grow and celebrate together.

**Me pēhea te tono | How to apply?**

**_ If we've nailed our pitch and this role sounds like it might be the one for you then please click "apply"we'd love to hear from you_**

**Job Details**:

- Reference #
SS153460- Posted on
18 Jan 2023- Closes on
29 Jan 2023 23:00- Location(s)
North Wharf- Company
ASB Bank- Expertise
Compliance, Regulatory- Work type(s)
Full Time