Compliance Lead

4 weeks ago

Auckland, New Zealand Generate Full time

We are a proudly New Zealand-owned, award-winning KiwiSaver and wealth manager. Our mission is to educate and empower our customers to make informed financial decisions and achieve strong long-term performance. With a relentless focus on these goals, we are dedicated to growing Kiwis' wealth and helping them attain better financial outcomes in retirement.
At our core, we are a purpose-driven business, caring deeply about making a difference. Our passionate team plays a crucial role in bringing our mission to life. We foster a culture of idea-sharing and empowerment, encouraging our people to lead initiatives that positively impact our business, community, and members.
About the Role
As our business continues to grow, we are excited to announce an exciting opportunity for an experienced Compliance Lead to join our high performing Distribution team. You will be the subject matter expert for Distribution, ensuring adherence to our Compliance Assurance Programme (CAP) and Quality Assurance Programme (QA).
You will also work closely with Distribution leaders to identify and manage key risks, conduct QA reviews, provide constructive feedback, and identify adviser and member initiatives that will enhance the client experience.
As our Compliance Lead, you will:

Lead the Distribution compliance framework, developing processes, systems and tools to ensure compliance with rules and regulations in New Zealand.
Conduct QA for Generate's Nominated Representatives (GNRs), covering in-person, virtual, and phone interactions, with an estimated 10 QA sessions per week.
Develop and present QA insights back to GNRs on a regular basis.
Provide guidance to non-advice Distribution teams, empowering those teams to deliver best practice service to Generate clients.
Establish reporting that monitors compliance, performance and highlights areas of focus Lead monthly meetings to agree actions for improvement and track the delivery of these initiatives.

About You
You are a people person, who has a quality assurance/compliance background in financial services or you have previously worked as a financial adviser. You have a good understanding of financial advice, FMA regulatory requirements and Code of Conduct.
With strong experience working with financial advisers and customers, you know what quality advice looks like. You enjoy working collaboratively with others to enhance this advice, which leads to better customer outcomes.
Other attributes that may help you succeed in this role:

Tertiary qualification in commerce, law or other relevant discipline
L5 Certificate in Financial Services (Investment) desirable
3+ years in financial advice, quality assurance or compliance within financial services
Confidence and strong stakeholder management skills to lead engagement with senior leaders and collaborate across the business
Attention to detail and ability to adapt to changing regulatory environments and business needs
Proactive mindset to identifying risks and developing effective mitigation strategies

Why This is The Place for You
Our culture is what sets us apart. We set ourselves high standards, ensuring our work environment is one where people thrive and also have fun. We invest significantly in the well-being of our people and are intentional about celebrating wins. We offer:

A hybrid model that allows you to balance work and home life seamlessly.
Competitive base salary + bonus package paid twice a year, additional KiwiSaver contribution, corporate benefits, and more
Wellbeing benefits, including health insurance, Employee Assistance Program (EAP), and discounted gym membership.
Thorough face to face induction, study assistance, and ongoing training & support.
Proactive Health & Wellbeing Committee that organises a full calendar of events and initiatives that support Social Connection, Community, and Mental Health.
Auckland CBD office with an amazing view, close to transport hubs.

Next Steps
If you are interested in making a meaningful difference, please hit “Apply” and be sure to include your CV and what you would bring to this role and our team.
We celebrate diversity and welcome candidates from all backgrounds to bring their unique perspectives to our growing organization.
Applicants for this position should hold a valid visa to work full-time in NZ.

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