On this page

Head of Compliance & Associate General Counsel l Funds Management

Job description

Pie Funds is an award-winning fund manager, with a strong vision for the future and an engaged and committed team.

We are now seeking to appoint a newly created role of Head of Compliance & Associate General Counsel, reporting to the General Counsel, within a firm known for its dynamic environment.

In this role, you will have ownership of all legal, regulatory, and reputational risk arising from the conduct of the business and will help manage the relationship with the Financial Markets Authority and Supervisor. This role is a key advisor to the Board and Leadership Team on general legal, regulatory and conduct matters.

Key Deliverables:

  • General legal, regulatory and conduct advice, including advice on new structures, products, and service offerings.
  • Member of Risk and Compliance Committee.
  • Liaising with external legal providers.
  • Advertising/marketing material reviews.
  • Disclosure document preparation, reviews, and sign offs.
  • Supervisor and regulator engagement, as required.
  • Governance/shareholder matters advice including share events, constitution/agreement matters, AGM's and committee structures.
  • Legislation/regulatory changes roll out and involvement in consultations.
  • Contract drafting/negotiation/review with outsourced providers / other suppliers.
  • Supports Compliance Manager in managing and approving compliance frameworks (e.g. Risk records, SIPO) and function and FMCA compliance.

Key attributes for success in the role:

  • Demonstrable experience within the funds/wealth environment and an understanding of the key compliance obligations under the FMCA
  • Good depth of experience in an in-house legal role in the financial services sector
  • Exceptional communication skills
  • Managerial courage and a resilient approach

The Pie Funds culture is innovative and ambitious, and we're looking for experienced, flexible candidates who bring a pragmatic, positive approach.

In return, we offer a broad ranging role, along with the chance to make an impact within this boutique fund manager.

Please get in touch to discuss this opportunity today to

Jenny Parker

Partner

0279137255

jenny@convergencepartners.co.nz

Or to apply via Seek click here.


MoST Content Management V3.0.7525