Senior Adviser, Market Conduct

3 weeks ago

Auckland City, New Zealand Financial Markets Authority Full time

**Who we are - Ko wai mātou**

At the Financial Markets Authority (FMA) the work we do counts - it is challenging, unique and continuously evolving. We ensure better outcomes for investors, consumers and the New Zealand economy through our unwavering commitment to promoting and facilitating fair, efficient and transparent financial markets.

Our Market Conduct team monitors capital markets activity, responds to potential non-compliance and, where necessary, takes regulatory action in response to market misconduct.

**The Role - Te Tūranga**

We're looking for an **Adviser** or **Senior Adviser** to join our team, to be located in our Auckland or Wellington office.

Our work is unique and interesting, and we operate in a collaborative and rewarding environment. For example, our team works on:

- trading misconduct cases, including potential market manipulation, insider trading and continuous disclosure issues on licenced markets.
- fair dealing issues relating to the offer and advertising of financial products.
- regulatory projects and thematic research; and
- drafting guidance to ensure that market participants have a clear understanding of their responsibilities.

You may have seen some of our high-profile cases reported in the media, such as:

- ** FMA files court proceedings alleging insider trading relating to the sale of Pushpay shares**:

- ** FMA directs Du Val to remove misleading advertising**:

- ** FMA's civil proceedings against a portfolio manager for alleged market manipulation**;
- ** FMA's civil proceedings against CBL Corporation for multiple breaches**;
- ** FMA receives an enforceable undertaking in relation to false and misleading statements**; and
- ** FMA issues stop order against The One Management GP Limited**.

**About you - Ō pūkenga**

To be successful in this role, you'll have at least two to five years of relevant experience in, and a deep understanding of financial markets. While your experience could have been gained in any type of financial services business, experience working in a trading or legal environment would be an advantage.

You will have strong analytical, critical thinking and reasoning skills and a genuine passion for New Zealand's financial markets. You'll be a team player with excellent communication and relationship building skills, with a drive for continuous improvement and learning.

**What we offer - Ngā painga**

Here at the FMA, we are passionate about providing our employees with the opportunity to make an impact in a place where the quality of our work and the measure of our influence is second to none. We are committed to providing a dynamic, well-balanced, and inspiring work environment to see you develop and succeed.

We offer flexible working arrangements and a variety of wellness activities. A strong emphasis is placed on your life outside the workplace, and diversity and inclusion are championed in an environment where we all have the opportunity to reach our full potential.

**Applications close Thursday 27 June 2024 at 5pm**
- Reference #
- 16845
- Posted on
- 13 Jun 2024
- Closes on
- 27 Jun 2024 17:00
- Location(s)
- Auckland, Wellington
- Expertise
- Compliance, Conduct regulation
- Job level(s)
- Experienced
- Work type(s)
- Permanent full-time

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