New Zealand’s Stock Exchange (NZX) is driven by a commitment to connect people, business and capital every day. NZX takes pride in helping to support and drive a healthy economy, and deliver sustainable wealth, value and opportunities to all. Every day its people and passion is focused on their role delivering information, insights and the tools needed to connect investors with the right investment opportunities.

NZ RegCo is NZX’s regulatory agency, and plays an important role in ensuring that NZX’s markets operate in a fair, orderly, and transparent manner. Its purpose is to ensure investors, issuers, and market participants have confidence in the integrity and regulatory oversight of NZX’s markets.

About this role

Reporting to the Chief Executive, Joost van Amelsfort, this is a unique opportunity to take on the pivotal role of Head of Market Conduct. You will have overall management and leadership responsibility for market conduct and oversight activity (both reactive and proactive), team mentoring and management, driving advocacy, and developing and managing implementation of initiatives and projects that support its core activity. You will:

• Oversee the delivery of proactive and robust market oversight and monitoring functions relating to listed issuers.
• Lead delivery of core activity for the identification, investigation, and enforcement of potential breaches of NZX’s market rules. This includes providing recommendations to the CEO and NZ RegCo Board.
• Collaborate with internal and external stakeholders, and drive market advocacy and education initiatives for matters relating to compliance and best practice conduct expectations.
• Prepare and manage cases referred to NZ Markets Disciplinary Tribunal .
• Produce accurate internal and external reports on market conduct activities for board review, regulatory oversight bodies, media enquiries, and annual reporting.
• Contribute to NZ RegCo’s strategy and initiatives, and support NZX initiatives.

About you

• 10+ years’ relevant experience in compliance and/or regulation in the financial services industry and/or financial markets.
• Ideally you will hold a tertiary qualification in law and be eligible to hold a practising certificate.
• You will either have management experience or bring informal management / mentoring skills and be able to demonstrate your capability to step into a management role.
• Knowledge of common capital markets structures, products and terminology.
• Excellent written and verbal communication skills with the ability to interact with senior internal and external stakeholders.
• Robust personality and an ability to influence at senior levels.
• A healthy level of both curiosity and professional scepticism and sound regulatory judgment.