Compliance and Supervision Specialist

1 week ago


Wellington, Wellington, New Zealand Wellington-Altus Financial Inc. Full time
Senior Manager, Managed Accounts Supervision

We are looking for a Senior Manager to lead the supervision of Portfolio Managers with a focus on internal managed account platforms and business standards. This role will be responsible for maintaining high standards of conduct and ensuring compliance with regulatory requirements.

The key responsibilities of this role include:

  • Conducting supervision activities focused on managed accounts including reviewing and approving trade alerts and reports, account opening, KYC and IPS updates.
  • Managing the regulatory obligation of direct supervision over Associate Portfolio Managers to ensure they develop appropriate standards and systems as Portfolio Managers.
  • Supporting the creation and maintenance of supervision programs (and related procedures) for managed accounts to ensure WAPW, WAPC and WAUSA remain compliant with requirements.


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