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Compliance Analyst, Investments

About the role

Bureau have been engaged exclusively to recruit a high performing Risk & Compliance professional to join a market leading Investment Services firm. This position has been created to assist in maintaining the risk management framework including assurance programmes, training, monitoring and reporting. Covering a wide range of duties your role will involve:

  • Conduct monitoring and produce monitoring reports in accordance with internal compliance monitoring programme.
  • Supporting senior colleagues with the development of risk management framework such as compliance and assurance plans.
  • Provide reports as requested, to keep relevant management informed of the operational and progress of risk and compliance efforts.
  • Conduct compliance training sessions when required.
  • Help administer the intake, review, investigation and resolution of complaints.
  • Interacting with the FMA and other regulatory bodies.
  • Proactively identifying areas of vulnerability and risk, and recommending the suitable solution.
  • Monitoring and testing internal controls.
  • Assisting with project work and other operational tasks as and when required

Skills & experience

  • At least two years of experience in a risk, compliance, assurance, legal or audit environment, ideally within the Financial services and Banking sector.
  • The ideal candidate must have AML-CFT experience.
  • Excellent interpersonal skills and capable of dealing with complex issues.
  • The ideal candidate will have a tertiary education in law, accounting/finance or a similar related discipline.
  • Strong verbal and written communication skills with the ability to communicate at all levels of the organisation.
  • The ideal candidate will have a strong understanding of financial terms, general investments and financial markets.
  • Strong commercial acumen and an interest financial markets.
  • The ability to work well under pressure
  • Autonomous, self-started with the ability to take appropriate initiative.

The Company

My client is a market leader in the Investment Services industry and have been the recipient of several awards for investment banking, sharebroking and research.

"Apply now"
by submitting your resume and cover letter, or for further information phone
Carlos Kirkwood-Ale, Partner 022 186 1077

You must be eligible to work in New Zealand

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