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Compliance Analyst

INVESTNOW MAGAZINE – MAR 2019 - Harbour Asset Management - InvestNow

Compliance Analyst 


Harbour Asset Management is a wholly-NZ owned investment management company, which has enjoyed consistent and ongoing growth for over 10 years.  Contributing to this success is Harbour Asset Management’s commitment to their core values, and as well as the client first approach, includes responsible investing practices and an inclusive and collaborative culture. With offices in Auckland and Wellington, they have created a cohesive team of experts who hold themselves to high standards and achieve great client outcomes.   

The role

Having recently moved the compliance function in-house, this is a newly created role supporting the Compliance Manager. You will be working closely alongside your leader, within a role where you can expect a high degree of mentoring and support. The role of the compliance team within Harbour, is to ensure that the clients, people and business is secure.  As a Compliance Analyst you will be providing analyst support to the entire Harbour business, closely engaging with all departments and at all levels.

Key responsibilities include (but not limited to)

  • Daily monitoring of trading activity and overseeing relevant compliance functions to ensure all trades comply with relevant regulations.
  • Working closely with the Client and Communications team regarding onboarding and any AML/CFT, CRS & FATCA queries.
  • Monthly AML/CFT monitoring including sampling checks.
  • Provide ongoing support to Compliance Manager.
  • Daily, weekly and monthly tasks under Harbour’s compliance monitoring plan.
  • Responding to internal and external compliance related queries.
  • Build effective relationships with the business, supervisor and regulator.
  • Co-ordinate regulatory submissions on behalf of Harbour, as required.
  • Collate and manage incidents to ensure business process improvements are implemented.
Your experience

Given that this is a highly collaborative role working across all departments, we are looking for someone with excellent communications skills, who enjoys building relationships with a wide variety of people to assist with meeting our regulatory requirements, corporate governance best practice and solutions for risk management. You must also be a proactive person, who enjoys taking the initiative and looking for ways to improve processes. Whilst experience within a similar funds/investment management type business would be ideal, it is not essential.  We are looking for someone with around 3-5 years’ experience gained from within the financial services or legal profession.  You should have a solid understanding and practical experience of AML/CFT, and a tertiary qualification within finance and/or law.  Above all, you must be an advocate for the importance of the compliance function within the Harbour business.

Harbour Asset Management provides a social and enjoyable working environment, and there will be good opportunities for progression for the right person. We would love to hear from you if feel this role is a fit for your skills and experience. 

Applications will close on Wednesday 1st December 2021 at EOD.  Please apply with a cover letter and your CV, (you will need to prove your right to work within NZ). Any enquiries can be directed to: Natasha Symonds, Talent Specialist – Kin Recruitment, mob: 022 069 5284, email Natasha.symonds@kin.co.nz


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