Compliance Specialist

19 hours ago


Auckland City, New Zealand Tyler Wren Full time

Join a well-established firm
- Positive and strong team environmment
- Auckland CBD

Our client is a leading wealth management firm with an established risk and compliance team supporting the business in its pursuit to uplift risk maturity.

In this role, you will review the submitted due diligence forms ensuring that they meet the requirements of the Act. You will also provide assistance to the Onboarding Specialist with any reporting or monitoring and work closely with the Senior Manager on regular day-to-day compliance activities.

**Other responsibilities**:

- Assist with the maintenance of risk and compliance policies and frameworks.
- Assist the Senior Compliance Manager with regular and ad hoc compliance reporting such as to NZX, risk committees and boards.
- Training and education and driving a risk and compliance culture throughout the firm.
- Preparation for any regulatory audits/reviews/filings with the Senior Compliance Manager.
- Assist Senior Compliance Manager with regulatory breach assessments, with Legal support as required.

**About you**:

- At least 3-5 years of work experience in a legal or risk & compliance environment
- You could have regulatory change experience, desirable
- Knowledge of AML/CFT
- Client Focused
- Professional with a can-do attitude
- Effective problem solver
- Strong planning and organisation skills

If you are looking for a new compliance opportunity and this role sounds like it could be your next move, please do
**'Click Apply'.** Contact
**Sarah Kennerley **on
**09 869 7180 **for a confidential discussion
**.


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