Regulatory Compliance Specialist
4 days ago
Robert Walters New Zealand seeks a Regulatory Compliance Specialist to join our team. As a key member of our Risk/Compliance department, you will play a vital role in managing formal complaints and industry reports regarding potential breaches of regulations and rules.
You will be responsible for accurately collecting information from involved parties, assessing complaints, drafting decisions for approval, and undertaking resolution processes as needed.
The ideal candidate will have proven experience in conflict, complaint resolution, case management, dealing with challenging behaviour, conversation and information management.
We are looking for an individual who can work with limited supervision, make decisions, and work on their own initiative. Effective communication skills are essential to deal tactfully and sensitively with people at all levels.
- Key Responsibilities:
- Accurately collect information from both parties to assess appropriate complaint management pathway
- Apply triage criteria and assess complaints, preparing recommendations for suitable complaint pathways
- Draft decisions for approval where appropriate
- Undertake resolution processes for referred matters
- Identify regulatory and disciplinary issues, ensuring effective and timely escalation of misconduct matters
- Manage expectations of all parties through timely and clear communication
- Maintain regulatory knowledge to ensure consistent and accurate decisions.
About the Role:
This is a permanent opportunity within our Risk/Compliance department. You will work closely with our team to ensure that all complaints are handled efficiently and effectively.
What You'll Do:
- Work collaboratively with our team to manage formal complaints and industry reports
- Assess complaints and draft decisions for approval
- Undertake resolution processes for referred matters
- Identify regulatory and disciplinary issues and escalate them appropriately
Requirements:
- At least 1 year's work experience in conflict/complaint/dispute resolution
- Expertise in legal/regulatory/compliance environments
- Ability to work with limited supervision, make decisions, and work on own initiative
- Effective communication skills to deal tactfully and sensitively with people at all levels
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