Compliance Manager
4 hours ago
With more than 20 years in mortgage and insurance distribution, NZ Financial Services Group brings together the widest range of support services in the market.
We are home to more than 1000 members that offer home loan, insurance, and other financial services across New Zealand.NZ Financial Services Group was formed in 2013 when two of New Zealand's leading financial services groups, Allied Kiwi and Loan Market, merged to create one of the largest financial services companies in the country.
We are proudly a family owned, privately held business built on strong family values.About the role:This senior level role reports to the Head of Customer Outcomes and will see you actively participate as the trusted expert and adviser in the delivery of oversight of authorised bodies, financial advisers and strategic initiatives whilst fostering the development of an active compliance culture across all of NZFSG and its members.You will collaborate with a team who will provide compliance insights through data and control testing, you will work with key NZFSG stakeholders to have oversight of Authorised Bodies, Financial Advisers and internally oversee standards to uplift risk maturity in the business.Key responsibilities:Oversight of Authorised Bodies and Financial Advisers:Develop and implement oversight strategies for authorised bodies within the organisation.Ensure compliance with regulatory requirements and internal policies.Review regular assessments to monitor performance and identify areas for improvement.Provide guidance and support to authorised bodies to enhance operational efficiency and adherence to standards.Investigate complaints or concerns raised regarding the conduct or performance of financial advisers and take appropriate actions.Licence Management:Manage the organisation's licensing requirements and ensure timely renewal and compliance with regulatory obligations.Liaise with regulatory authorities to address any queries or concerns related to Authorised Bodies.Develop and implement processes to streamline licence management.Regulatory Compliance:Stay abreast of changes in financial regulations and industry best practices to ensure compliance.Interpret regulatory requirements and communicate updates or changes to relevant stakeholders.Collaborate with compliance teams to address regulatory issues and mitigate risks.Risk & Compliance Culture:Influence and lead the development of an active risk & compliance culture across the division.Ensure NZFSG meets the requirements of our Compliance Assurance Programme, internal policies, frameworks and risk appetite tolerances.Skills and Experience you'll bring to the role:Experience in either Line 1/2 Risk Management and Compliance, Quality Assurance, Operations and/or operational excellence will be invaluable in this role.Extensive experience (10+ years) in financial services, with a focus on oversight, compliance, or regulatory affairs.Strong analytical skills and attention to detail, with the ability to interpret complex regulatory requirements and assess compliance implications.Excellent written and verbal communication skills, with the ability to translate and convey complex information to a diverse group of stakeholders.You will have the confidence to challenge Senior Management independently and constructively.Critical thinking and problem-solving skills.
You can identify causal factors of issues and develop/influence effective mitigations in complex processing.You will be a natural people leader with extensive experience in coaching and mentoring employees and fostering a spirit of inclusiveness and high performance.In-depth knowledge of financial regulations, including but not limited to, licensing requirements.Demonstrated ability to manage multiple priorities and deadlines in a fast-paced environment.Seniority levelMid-Senior levelEmployment typeFull-timeJob functionQuality Assurance, Management, and Strategy/Planning
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