Compliance Specialist

5 days ago

Auckland, Auckland, New Zealand Firstcape Full time

Compliance Specialist - Client InformationFirstCape is one of New Zealand's largest and best resourced wealth advisory and asset management businesses, creating an enhanced and broadened product offering to help our clients achieve their goals at whatever stage of their investment life cycle.
Here at FirstCape, we believe that our people are our greatest asset.
Our success is dependent on the collective talent, expertise, and dedication of each and every one of our team members.
We are committed to creating an environment where everyone can thrive, grow, and contribute to their fullest potential.About the opportunity | Mo te whai waahiThe Client Information Assurance Team sits within JBWere's Legal, Risk and Compliance function, and is accountable for managing the front-to-back workflow for collection and comprehensive review of client data, and efficient transmission to other JBWere departments for processing in JBWere's systems.
The Team's primary objective is to maintain continuous compliance with governing customer due diligence regulations to protect JBWere's clients' investments and the integrity of financial markets for the benefit of all stakeholders.
A secondary objective is to continuously improve the collection and review processes via the ongoing development of an intelligent, client-centric workflow.
This role is instrumental to creating a best-in-class client experience for JBWere's new and existing clients when opening or making changes to their JBWere accounts, by quickly identifying inaccuracies and omissions in the information received, and determining the action required to remedy.Review and approval of client submitted forms (e.g., application, account amendment and one-off action forms) and associated client documentation for accuracy, completeness and compliance with JBWere obligations and internal policies.Review and approval of ongoing client due diligence forms which ensure client information gathered for AML compliance remains current and complete.Maintain proficiency with governing customer due diligence regulations, by attending relevant training courses and seminars.
Additionally, attend regular meetings with the JBWere Compliance Team to ensure competency and currency of AML/CFT knowledge.Review clients' investment portfolio holdings to identify potential complexities with onboarding their investments on to JBWere's asset custody platform.Assist the Client Information Assurance Manager in designing new or streamlining existing processes and workflows related to the review and transmission of client information within JBWere to improve the client experience.What you will bring to the role | He aha ka kawea e koe ki te mahiWe require that you have:Excellent organisational and prioritisation skills to manage multiple priorities.Proactive team player, self-motivated with an ability to think critically, use initiative and independent judgment to deal with tasks that require immediate attention.Concise verbal and written communication skills with the ability to explain complex regulatory requirements and the reasons why we must collect the data that we do using straightforward terminology.Strong ability to build and maintain relationships at all levels, with a continuous client focus.Strong ability to anticipate problems and be solution oriented, and to retain information to identify reoccurrences or trends in the information analysed.
Ability to think laterally to find long term solutions to prevent ongoing reoccurrence.Proficiency in the Microsoft Office Suite of applications, particularly Outlook, Word and Excel.Why work at FirstCape?
| He aha mahi i te FirstCape?We offer a competitive compensation package commensurate with experience.
Additional benefits include wellbeing support, volunteer days and a great company culture.
We pride ourselves on offering our employees outstanding development and learning opportunities to support career growth, and the opportunity to work alongside the best talent in the market.We are an inclusive employer and want our workforce to reflect a rich and diverse way of thinking and working.
We know people are more than a single identity and the qualities that make each one of us unique need to be valued and embraced.
So regardless of your gender, age, background or how you choose to identify, there's room for you to realise your potential here.
And importantly, there's room to be yourself.We're also committed to providing equal opportunities to all candidates.
Let us know if you have any accessibility requirements so we can work with you to make adjustments where possible to support your application.
Alternatively, if you don't meet all the requirements of the role but think you would be a great candidate, please apply explaining why you want the role, how you think your skills or background are transferable, and how you plan to upskill where needed (we will support you with this, but want to know you have thought about this too).To be eligible to apply, you must have the right to work in New Zealand.
Please note candidate screening and interviews may be conducted prior to the closing date of the job advert.
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