Compliance Analyst

3 days ago

Wellington City, New Zealand Tyler Wren Full time

Strong knowledge of FMCA required - Join a great team with a positive culture - Report to the Senior Manager We are working on behalf of our long-standing financial services client to help recruit a Compliance Analyst. You will report directly to the Senior Manager and be part of a team responsible for delivering relationship management and contractual services. The role is largely client-focused and will require you to liaise with clients on a professional basis. As a Compliance Analyst, you will provide solid client relationships, monitoring, and review services to both supervised and non-supervised clients to ensure the business has a risk-based approach to managing its clients by understanding the potential risks they present to investors. **Other responsibilities of this role, but not limited to**: - Review and monitor client compliance and risk reporting, financial statements, operational processes, and other documentation, information, and intelligence. - Provide advice on potential risks and concerns and suggest recommendations to mitigate and close the risks. - Identify trends - clients, and sectors as relevant to operational processes that introduce risk to investors. - Assist with the risk assessment of clients relative to their sector and Annual review of clients. - Adjusting prioritisation and intensity of client monitoring activities based on evolving risks. Undertake thematic risk-based reviews, as required. - Build solid relationships with clients to understand their organisational strategy, changes, risks, and potential threats to investors - Support the wider team of Client Managers and clients to understand and comply with relevant regulatory obligations **About you**: - Solid understanding of the regulatory environment under the Financial Markets Conduct Act, financial sector, markets, and products - 4+ years of experience in financial services, preferably with exposure to financial markets, including managed funds or Kiwi Saver - Experience in operational processes, governance, risk, and compliance frameworks used to deliver retail or wholesale financial products - Experience dealing with clients - Ability to communicate with all levels of an organisation up to senior management and board level Reach out for a confidential discussion today with **Sarah Kennerley** on **09 869 7180** or **"Click Apply".

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