Head of Compliance

Job Title: Head of Compliance
Location: Auckland
Contact Details: Michael Hoyle
Contact Email:
Job Published: 20 days ago
The Company

My client is a rapidly growing, multinational financial services business. They value themselves on excellence, having won multiple industry awards over the last few years. They are an energetic team with a strong company culture, offering outstanding professional development.

The Role

Due to the continued success and growth of the business, they are looking to recruit a new Head of Compliance. Reporting to the Head of Legal, Risk & Compliance, the Head of Compliance will take ownership of the compliance side of the business.

They will be responsible for the monitoring, implementation and maintenance all necessary procedures and controls to ensure an effective compliance framework that meets legal and regulatory requirements in New Zealand. This will include;

• Maintaining a structured and systematic risk and compliance framework
• Working with the Compliance team to ensure that all relevant regulatory standards are identified and mapped accordingly
• Identify and evaluate risks faced by the business, including risks of non-compliance with the financial services laws
• Liaising with internal and external stakeholders to obtain information about customers, including but not limited to; AML investigations, Customer Due Diligence and Enhanced Due Diligence
• Notifying the Management Group of any deviation or breach of the company’s Risk Management Framework and work to ensure they are appropriately monitored and documented

About You

The ideal candidate will have a comprehensive knowledge of risk and compliance, ideally gained within the capital markets / brokerage sector in New Zealand. They will also have sound understanding of relevant Securities laws and regulations in the USA and PRC.

• Relevant Tertiary degree, with outstanding knowledge of securities rules and regulations in New Zealand
• Proven experience in monitoring and implementing quality Compliance and/or Risk management framework policy content, with at least 2 -3 years’ experience in investment banking / brokerage firms
• Excellent self-management, interpersonal, presentation and communication skills, able to interact with stakeholders
• A high degree of accuracy and attention to detail, with the ability to manage confidentiality

If this sounds like the role for you, apply now!

Applicants must be a New Zealand Citizen or Permanent Resident
Please attach your CV and Cover Letter, both in MS Word.doc format

For more information, please contact Michael Hoyle on

Ref: 103069