Compliance Analyst

2 weeks ago

Wellington, New Zealand Ray White Full time

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:As a Compliance Analyst in the financial services sector, your primary responsibility will be to ensure analysis and reporting to regulatory requirements and internal policies. You will play a crucial role in overseeing various compliance processes, identifying key risk indicators, and ensuring accurate reporting. This position demands meticulous attention to detail, strong analytical skills, and a deep understanding of financial regulations.
Key responsibilities:Manage data for Regulatory Returns:Track and manage information required for regulatory returns.Collate and ensure accuracy of information required for reporting to regulatory bodies.Reporting:Manage and oversee compliance reporting ensuring compliance with regulatory standards and internal guidelines.Generate accurate reports and provide insights to support decision-making.Collaborate with teams to address any discrepancies and facilitate resolution.Monitor activities related to non-panel lenders and generate comprehensive reports highlighting any compliance issues or risks.Monitor and review exceptions related to compliance activities, identifying trends and potential areas for improvement.Oversight of File Selection for Advice Assurance framework:Oversight of file selection processes to ensure compliance with regulatory requirements and internal policies.Implement improvements to enhance efficiency and accuracy in file selection procedures.Manage and reporting of Staff Attestations:Manage staff attestations related to conflicts of interest (COI), gifts, and other relevant areas.Ensure timely completion of attestations and report any non-compliance issues promptly.Identify and improve operational efficiency of processes and procedures.Skills and Experience you'll bring to the role:Compliance officers course completed preferred.Proven experience in risk and compliance analysis of a financial advice provider.Strong understanding of financial regulations and compliance requirements, particularly in the financial services sector.Excellent analytical skills with the ability to interpret complex regulatory requirements.Strong communication and interpersonal skills, with the ability to collaborate effectively with cross-functional teams.Detail-oriented approach with a focus on accuracy and precision.Ability to prioritise tasks effectively and work well under pressure in a fast-paced environment.Proficiency in Google Suite and experience with compliance software/tools is a plus.This job description is intended to convey information essential to understanding the scope of the role and is not exhaustive. Duties and responsibilities may be subject to change based on organisational needs and evolving regulatory requirements.

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