Regulatory Compliance Specialist

4 days ago


Wellington, Wellington, New Zealand NZ RegCo Full time

About NZ Reg Co

NZ Reg Co is an independently governed entity that performs all frontline regulatory functions to support NZX's statutory obligations as a licensed market operator.

We play a crucial role in regulating the capital markets, ensuring they operate in a fair, orderly, and transparent manner.

Our purpose is to provide confidence in the integrity and regulatory oversight of NZX's markets, benefiting investors, listed issuers, and market participants alike.

We are seeking an intermediate-level solicitor with at least three years of experience to join our enforcement function.

This role involves overseeing and monitoring listed issuers, investigating and undertaking enforcement activity in relation to non-compliance with NZX's market rules.

You will also advocate for conduct outcomes through strategic initiatives and projects.

  • A law degree and current practicing certificate (or ability to obtain one)
  • 3+ years of PQE or other professional experience
  • Some work experience in capital markets or financial markets regulation
  • Sound written and verbal communication skills

We offer a dynamic and challenging work environment where you can make a real difference in the integrity and regulatory oversight of NZX's markets.



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