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Senior Adviser, Supervision Response
3 weeks ago
Who we are - Ko wai mātou
At the Financial Markets Authority (FMA) the work we do counts - it is challenging, unique and continuously evolving. We are committed to promoting and facilitating fair, efficient and transparent financial markets and our oversight and influence with market participants provides better outcomes for investors, consumers, and the New Zealand economy. The FMA's remit and regulatory approach are expanding and evolving to have a stronger focus on conduct. We're currently on an exciting journey, to enable the growth of our organisation.
The Role - Te Tūranga
Our Supervision Response team is often at the forefront of industry developments and issues, our agile approach to market supervision and issues management means no two days are ever the same. We have an exciting opportunity available for a Senior Adviser to join our team in either Auckland or Wellington. The Supervision Response team shows the FMA's appetite to focus on misconduct cases with the team's purpose to investigate and respond to misconduct to achieve fair outcomes for market participants and their customers, promoting good conduct and building trust.
This position will see you leading enquiries into suspected misconduct or regulatory breaches by individuals and entities who are licensed or regulated financial markets participants. You will have the opportunity to dig around, get your hands dirty and use your analytical and investigative skills to get to the bottom of issues. This may include assisting other specialist teams within the FMA with the preparation of cases (civil and criminal) for court action or for referral to the Financial Adviser Disciplinary Committee.
You will be required to assess, investigate, and resolve suspected misconduct issues or breaches of financial markets legislation in a timely and effective manner and be able to prepare insightful, well-researched reports for decision makers to determine the appropriate regulatory response to take on a case-by-case basis. You may have seen some of our high-profile cases reported in the media, such as:
- FMA makes permanent stop order to Wisdom House Investment Partners Limited and Yuen Pok Loo
- FMA directs Kalkine to stop making outgoing sales calls to New Zealanders after misleading marketing conduct
- FMA censures derivatives issuer Western Union Business Solutions (Australia) Pty Ltd for licence breaches
- FMA censures CTRL Investments for derivatives issuer licence breaches
- FMA warns Squirrel P2P Trustee Limited for historic custodian breaches
About you - Ō pūkenga
You will have investigative experience and industry knowledge/experience in the financial services industry (including an understanding of the Financial Markets Conduct Act 2013 and the products/services within). You will have a natural curiosity and a nose for smelling out potential issues. In addition, you will support management in the efficient running of the team and give advice on complex and complicated issues.
**Key to your success in this role will be your**:
- Ability to identify and clearly articulate the outcome that the FMA is seeking to achieve and recommend the appropriate response to achieve that outcome.
- Legal background in financial services is beneficial.
- Exceptional interpersonal, communication, writing, and influencing skills.
- Agility and resilience, and able to maintain momentum with a strategic focus.
What we offer - Ngā painga
The Financial Markets Authority is an equal opportunity employer that values diversity and is committed to maintaining an inclusive culture where all employees have the opportunity to reach their potential. We recognise that our continued success is dependent on the performance and ability of our employee.
