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Regulatory Compliance Professional

1 week ago

Auckland, Auckland, New Zealand Firstcape Full time

About the Opportunity

The Client Information Assurance Team plays a crucial role within FirstCape's Legal, Risk and Compliance function. The team is responsible for managing the end-to-end workflow for collecting and reviewing client data, as well as transmitting it to other FirstCape departments for processing.

The primary objective of the team is to maintain continuous compliance with governing customer due diligence regulations, ensuring the integrity of financial markets and protecting clients' investments.

A key aspect of this role is creating a best-in-class client experience by quickly identifying inaccuracies and omissions in client information and determining the necessary actions to remedy these issues.

This involves reviewing and approving client-submitted forms and associated documentation for accuracy, completeness, and compliance with FirstCape obligations and internal policies.

Additionally, this role requires maintaining proficiency with governing customer due diligence regulations through relevant training courses and seminars.

Key Responsibilities

  • Review and approval of client-submitted forms and associated documentation
  • Maintenance of proficiency with governing customer due diligence regulations
  • Identification of potential complexities with onboarding client investments onto FirstCape's asset custody platform