Compliance Analyst

2 weeks ago

Auckland City, New Zealand Frog Recruitment Full time

**Compliance Analyst**

Frog Recruitment - Banking & Finance
Auckland > Auckland Central CBD
Multinational enterprise
- Full time
Attractive salary

We are working with a financial investment company looking for a Compliance Analyst responsible for managing their brokerage compliance program. Their multinational offices are located across China, Australia, North America, Singapore, and this role is based in a very modern and new office located in the Auckland CBD.

This is an exciting time to be part a wonderful and supportive organisation and an energetic team offering professional development, exciting overseas travel opportunity to their global offices and top-tier business working environment.

**Why work here?**
- Multinational company located in Auckland CBD.
- Newly build spacious and modern office.
- Southern Cross insurance subsidy after 1 year of service.
- Career progression, training, and development.
- Opportunity for overseas travel.

**About the role**:
This role requires all parts of brokerage compliance experience. You will be updating and reviewing polices & procedures, marketing wordings and training material.
- Maintaining a structured and systematic compliance framework to ensure the business is compliant with relevant rules and regulations in New Zealand.
- Assist in reviewing, developing, analysing, and evaluating the Compliance function, its management systems, policies, and procedures.
- Work within the Brokerage Compliance team to ensure that all relevant regulatory standards, guides etc. are identified and mapped accordingly.
- Maintain compliance controls designed to manage or mitigate those risks, and fully implement and monitor those controls to ensure they are effective.

**About you**:
You will be an experienced compliance analyst ideally within the capital market/brokerage sector in New Zealand. It will be a bonus if you have acquired the law degree but not necessary. You will be building partnerships with all key stakeholders within the organisation, partners, and external agencies
**. This role reports to the Head of Brokerage Compliance.**

**This role is for someone who has great attention to detail and can speak Cantonese or Mandarin as an additional language.**
- Experience in Brokerage Compliance in the New Zealand financial industry.
- Exceptional English communication skills both verbal and written.
- Excellent self-management, interpersonal, presentation and strong relationship management skills.
- A high degree of accuracy and attention to detail, and an unquestioned ability to manage confidentiality.
- Fluency in Chinese language is a bonus.

**How to apply**

**_To be considered, applicants must hold the legal right to live and work in New Zealand._

  • Compliance Analyst

    5 days ago

    Auckland City, New Zealand Tyler Wren Full time

    Flexible work policy - Be supported by a great team This great financial services company is growing their compliance team and Tyler Wren is assisting with recruiting a Compliance Analyst. This role reports to the Head of Compliance and will assist with AML/CFT queries and New Account Onboarding. As the Compliance Analyst, you will be involved with Sample...

  • Senior Compliance Analyst

    1 week ago

    Auckland City, New Zealand Tyler Wren Full time

    CRS/FACTA knowledge and experience required - Build strong relationships with key stakeholders - Central location Tyler Wren is working with a client of ours to assist with adding a Senior Compliance Analyst to their team. This role supports the CEO to deliver the business plan in compliance with the relevant requirements. As the Senior Compliance Analyst,...

  • Investment Compliance Analyst

    2 weeks ago

    Auckland City, New Zealand Tyler Wren Full time

    3+ years of relevant experience - Grow with a large financial services firm - Flexible work arrangements Tyler Wren is working on assisting a financial services client of ours on an exciting opportunity in their Investment Operations team. We are recruiting for an Investment Compliance Analyst to join the team and report to the Head of Investment...

  • Compliance and Aml Analyst

    4 days ago

    Auckland City, New Zealand LMAX Group Full time

    **About the Role**: Reporting to the Compliance Team Leader, the Compliance and AML Analyst will be responsible for administrative, advisory, monitoring and the implementation of compliance controls across the firm. **Main Duties & Responsibilities**: **Core**: - Assist in the management of the Global Compliance team inbox. - Daily Transaction...

  • Analyst - Investment Compliance

    6 days ago

    Wellington City, New Zealand BNP Paribas Full time

    ANALYST - INVESTMENT COMPLIANCE (JOB NUMBER: BP2003781) **Overall Job Purpose** The Investment Compliance Analyst role sits within the Performance & Compliance client delivery team. The role involves the daily monitoring of rules within client IMAs as well as assisting with daily operational tasks. The Investment Compliance Analyst interacts directly with...

  • Compliance and Aml Analyst

    4 days ago

    Auckland City, New Zealand LMAX Group Full time

    **Description**: **About the Role**: Reporting to the Compliance Team Leader, the Compliance and AML Analyst will be responsible for administrative, advisory, monitoring and the implementation of compliance controls across the firm. **Main Duties & Responsibilities**: **Core**: - Assist in the management of the Global Compliance team inbox. - Daily...

  • Compliance Analyst

    2 days ago

    Auckland, Auckland, New Zealand beBee Careers Full time

    About the RoleThis is an exciting opportunity to join our team as a Compliance Analyst, where you will play a vital part in ensuring that we meet our requirements to comply with both New Zealand and International laws and regulations.Key Responsibilities:Contribute to uplifting our obligation and control environmentProvide support for the implementation of...

  • Analyst - Investment Compliance

    6 days ago

    Wellington City, New Zealand BNP Paribas Full time

    **Overall Job Purpose** The Investment Compliance Analyst role sits within the Performance & Compliance client delivery team. The role involves the daily monitoring of rules within client IMAs as well as assisting with daily operational tasks. The Investment Compliance Analyst interacts directly with clients and or investment managers regarding all aspects...

  • Compliance Analyst

    6 days ago

    Auckland, Auckland, New Zealand Visa Full time

    Job DescriptionTeam SummaryVisa Consulting & Analytics (VCA) Australia, New Zealand, and South Pacific (AUNZSP) is Visa's advisory division, working with Visa's clients (including card issuers, acquirers, and merchants) on a broad range of key business initiatives including strategy, operational optimisation, customer engagement and overall business...

  • Legal Compliance and Risk Analyst

    5 days ago

    Auckland City, New Zealand Bell Gully Full time

    AML / Compliance - Auckland 6 JUNE 2025 - Commercial Bay office - Excellent employee benefits We are looking for a legally trained person to step into a newly created Legal Compliance & Risk Analyst role, working in support of the existing Compliance / Risk / AML team. The role includes assisting: - Assisting the Compliance / Risk team with managing our...