Compliance Specialist

3 weeks ago

Auckland, New Zealand The Adviser Platform Full time

Compliance & Risk (Banking & Financial Services)Full timeIn financial services, compliance is a crucial and ever-evolving aspect of the industry, central to the governance of a financial adviser's business. Reporting to the Head of Compliance and Advice, you will play a key role in providing audit and compliance support to ensure financial advisers comply with their Financial Advice Provider (FAP) licence obligations. By developing strong relationships with our adviser members, you'll contribute to our vision of being New Zealand's market-leading management platform for financial advisers.Office Location:Nearby public transport routesPaid street parking available or nearby parking buildingsSign up to Parkable to find nearby car parksWhat You'll DoReviewing advice to ensure it is easy to understand and delivers good outcomes.Helping advisers deliver best practices using provided tools and processes.Providing advisers with confidence that their advice and processes are robust.Assisting with onboarding new advisers and delivering compliance services.Addressing compliance-related queries from advisers, particularly regarding the documentation of advice.Collaborating with adviser businesses to identify gaps and assist in reporting or tracking key compliance metrics.Utilizing your strong administration skills to manage documentation, track compliance metrics, and support overall team efficiency.What You Can Look Forward ToJoining a growing and innovative business in fintech, dedicated to going the distance for adviser members.Being part of a small, close-knit, and supportive team.Endless learning and development opportunities for personal and career growth.Insurance benefits.Newly renovated offices on the city fringe, surrounded by great lunch options and public transport.Monthly team social events.To Be Successful in This Role, You'll Ideally…Be a team player with a great attitude, while also being self-motivated to work independently.Have some client-facing experience to provide excellent service to our adviser members.Have experience working in Personal Risk, Investment, Mortgage, or Fire & General Insurance.Possess strong written and verbal communication skills.Be proficient in the Google Suite.Demonstrate strong administration skills, with attention to detail and the ability to manage multiple tasks efficiently.Be quick to grasp and confident in navigating tech platforms.About UsThe Adviser Platform (TAP) is a growing fintech business, offering New Zealand financial advisers a market-leading management platform. We're genuinely committed to helping independent advisers build and grow their businesses by providing all the tools, processes, and support needed to succeed in today's market.Founded by a team with extensive experience in financial advice, TAP provides an exceptional administration support team, bespoke CRM, training, and practical regulatory and compliance advice for advisers.Visit our website or LinkedIn to find out more: application will include the following questions:How many years' experience do you have as a Compliance Specialist?Which of the following statements best describes your right to work in New Zealand?Do you have experience in administration?How many years' experience do you have in the financial services industry?How much notice are you required to give your current employer?
#J-18808-Ljbffr

  • Compliance Specialist

    5 months ago

    Auckland City, New Zealand Emergent Full time

    Auckland CBD based - WFH flexibility provided - Great opportunity for growth - supportive leader - Base + great employee benefits We're looking for an experienced Compliance Specialist to join this Financial Service provider, with ASAP start! Based in the heart of Auckland CBD, you will join a team of passionate specialists, reporting to a fantastic and...

  • Compliance Specialist

    1 month ago

    Auckland, New Zealand F. Hoffmann-La Roche Gruppe Full time

    Roche fosters diversity, equity and inclusion, representing the communities we serve. When dealing with healthcare on a global scale, diversity is an essential ingredient to success. We believe that inclusion is key to understanding people's varied healthcare needs. Together, we embrace individuality and share a passion for exceptional care. Join Roche,...

  • Compliance Specialist

    3 weeks ago

    Auckland, New Zealand F. Hoffmann-La Roche Gruppe Full time

    Roche fosters diversity, equity and inclusion, representing the communities we serve. When dealing with healthcare on a global scale, diversity is an essential ingredient to success. We believe that inclusion is key to understanding people's varied healthcare needs. Together, we embrace individuality and share a passion for exceptional care. Join Roche,...

  • Compliance Specialist

    2 weeks ago

    Auckland, New Zealand F. Hoffmann-La Roche Ltd Full time

    Roche fosters diversity, equity and inclusion, representing the communities we serve.When dealing with healthcare on a global scale, diversity is an essential ingredient to success.We believe that inclusion is key to understanding people's varied healthcare needs.Together, we embrace individuality and share a passion for exceptional care.Join Roche, where...

  • Compliance Specialist

    3 weeks ago

    Auckland, New Zealand F. Hoffmann-La Roche Ltd Full time

    Roche fosters diversity, equity and inclusion, representing the communities we serve.When dealing with healthcare on a global scale, diversity is an essential ingredient to success.We believe that inclusion is key to understanding people's varied healthcare needs.Together, we embrace individuality and share a passion for exceptional care.Join Roche, where...

  • Compliance Specialist

    6 months ago

    Auckland City, New Zealand Emergent Full time

    6 month fixed term - asap start! - BAU and Project work - process improvement opportunity! - Auckland Central based, hybrid work - flexible start and finish time We're on the lookout for an experienced Compliance Specialist to support our client's effort to deliver on their project to drive improved compliance within the business, under the regulations that...

  • Compliance Specialist

    3 weeks ago

    Auckland, New Zealand The Adviser Platform Full time

    Compliance & Risk (Banking & Financial Services)Full timeIn financial services, compliance is a crucial and ever-evolving aspect of the industry, central to the governance of a financial adviser's business. Reporting to the Head of Compliance and Advice, you will play a key role in providing audit and compliance support to ensure financial advisers comply...

  • Compliance Specialist

    5 months ago

    Auckland City, New Zealand Emergent Full time

    Auckland CBD based - WFH flexibility provided - Great opportunity for growth - supportive leader - Base + great employee benefits We're looking for an experienced Compliance Specialist to join this Financial Service provider. The role part-time, 20 hours per week, being part of a team of passionate specialists, reporting to a fantastic supportive Compliance...

  • HR Compliance Specialist

    6 months ago

    Auckland CBD, New Zealand Cultivate Full time

    Ideally an immediate start for a 6 month fixed term contract - Based Auckland CBD with a few days WFH once trained - Within the Education Sector - join a supportive team Are you passionate about ensuring compliance within the education sector? Do you have a knack for process improvement and managing complex pre-employment checks? Our client is seeking a...

  • Security and Compliance Specialist

    6 days ago

    Auckland City, New Zealand Thematic Full time

    We are looking for a Security and Compliance Specialist in New Zealand! This role is **remote**, that said most of our team is in Auckland. **About Thematic** Thematic is a SaaS platform for customer feedback analysis, powered by the latest AI algorithms. Our goal is to empower companies to get clear and accurate insights from customer feedback in a fast...

  • Operational Quality and Compliance Specialist

    3 weeks ago

    Auckland, Auckland, New Zealand Buen Pharma Full time

    Job Title: Operational Quality and Compliance SpecialistWe are seeking a highly skilled Operational Quality and Compliance Specialist to join our team at Buen Pharma. The successful candidate will play a crucial role in ensuring the quality and compliance of our products, while also driving operational excellence.Key Responsibilities:Verify conformance with...

  • Assurance and Compliance Specialist

    2 months ago

    Auckland City, New Zealand Datacom Full time

    Our why Datacom works with organisations and communities across Australia and New Zealand to make a difference in people’s lives and help organisations use the power of tech to innovate and grow. About the role (your why) The Assurance and Compliance Specialist (ANZ) role will support the delivery of a comprehensive Risk, Assurance and Compliance (RAC)...

  • Quality and Compliance Support Specialist

    3 months ago

    Auckland City, New Zealand NZ Post Full time

    Gain exposure to a huge range of stakeholders, including Customs, MPI, and Aviation Security. - Implement and maintain compliance plans and activities across the site - Auckland based opportunity - 6 month fixed term role until February 2025 Kōrero mō te tūranga - About the roleNZ Post's International Mail Centre and our new Auckland Processing Centre...

  • Compliance Specialist

    3 weeks ago

    Auckland, New Zealand Asb Bank Full time

    Compliance Specialist - Foreign Tax (12-Month Fixed Term)At ASB, we're all about doing what we can to help our customers get "One Step Ahead" by giving them the tools they need to manage their lives and plans for their families and future. Are you a seasoned compliance professional with a knack for navigating foreign tax regulations? We're seeking a...

  • Compliance Specialist

    3 weeks ago

    Auckland, New Zealand Asb Bank Full time

    Compliance Specialist - Foreign Tax (12-Month Fixed Term) At ASB, we're all about doing what we can to help our customers get "One Step Ahead" by giving them the tools they need to manage their lives and plans for their families and future. Are you a seasoned compliance professional with a knack for navigating foreign tax regulations? We're seeking a...

  • Compliance Specialist

    3 weeks ago

    Auckland, New Zealand Asb Bank Full time

    Compliance Specialist - Foreign Tax (12-Month Fixed Term)At ASB, we're all about doing what we can to help our customers get "One Step Ahead" by giving them the tools they need to manage their lives and plans for their families and future. Are you a seasoned compliance professional with a knack for navigating foreign tax regulations? We're seeking a...

  • Compliance Specialist

    4 weeks ago

    Auckland, New Zealand Asb Bank Full time

    Compliance Specialist - Foreign Tax (12-Month Fixed Term)At ASB, we're all about doing what we can to help our customers get "One Step Ahead" by giving them the tools they need to manage their lives and plans for their families and future. Are you a seasoned compliance professional with a knack for navigating foreign tax regulations? We're seeking a...

  • Senior Security Risk

    5 months ago

    Auckland City, New Zealand Xero Full time

    Xero is a beautiful, easy-to-use platform that helps small businesses and their accounting and bookkeeping advisors grow and thrive. At Xero, our purpose is to make life better for people in small business, their advisors, and communities around the world. This purpose sits at the centre of everything we do. We support our people to do the best work of...

  • National Transport Compliance Safety Specialist

    1 month ago

    Auckland City, New Zealand Team Global Express Full time

    Connecting people and communities| Driving eCommerce | Moving New Zealand Team Global Express NZ delivers freight forwarding, end-to-end transport services, and comprehensive logistics solutions to customers operating in New Zealand scaling from Kaitaia to Invercargill. We are seeking a Compliance & Safety Specialist for our PM Shift on our National...

  • Compliance & Safety Specialist - National Transport

    3 months ago

    Auckland City, New Zealand Team Global Express Full time

    Connecting people and communities| Driving eCommerce | Moving New Zealand Team Global Express NZ delivers freight forwarding, end-to-end transport services, and comprehensive logistics solutions to customers operating in New Zealand scaling from Kaitaia to Invercargill. We are seeking a Compliance and Safety Specialist for our National Transport team in...