Compliance & Conduct Specialist

Aotearoa New Zealand Association of Social Workers; Auckland; On-site; NZD 80,000 - 110,000; Full time

Benefits offered by this job

Competitive salary package

Mentorship

Career growth

Inclusive culture

Job summary

Global Finance is seeking a Compliance & Conduct Specialist to join our team. This entry-to-intermediate role supports the Compliance Assurance Program, strengthens internal controls, and oversees regulatory obligations.

Working with the Head of Compliance, you will deliver staff training, conduct reviews, identify risks, and help adapt to new obligations while embracing emerging technologies. The role offers mentorship, a collaborative culture, and a platform for career growth within a trusted

Qualifications

• 2-3 years experience in a compliance or risk conduct role

Responsibilities

• Assist with developing, implementing, and maintaining compliance policies, procedures, and frameworks
• Deliver compliance training to staff and advisers on relevant regulations and internal procedures
• Conduct ongoing compliance reviews and assess effectiveness of internal controls
• Identify and elevate compliance risks and recommend mitigation strategies
• Monitor regulatory changes and adapt to new obligations
• Maintain records of compliance activity and incidents
• Collaborate with stakeholders including financial advisers, industry bodies, and regulators
• Deal with customer complaints related to advisor or company conduct, advice or services

Skills

Compliance

Regulatory knowledge

Risk management

Stakeholder management

Communication

Job description

About Us

Global Finance is one of New Zealand's highly awarded and trusted names in financial services, specialising in mortgages and personal risk insurance. With a legacy of over 26 years serving Kiwis and a reputation for excellence, we are committed to empowering our customers and our people alike.

Compliance & Conduct Specialist

We are now seeking a highly motivated and detail-oriented Compliance & Conduct Specialist to join our growing team. This is an entry to intermediate level role within the organisation, working closely with the Head of Compliance and wider team to support our Compliance Assurance Program, strengthen our internal compliance controls, and assist in overseeing regulatory obligations, and champion a culture of good conduct across the business. With the adoption of AI and other emerging technologies across the business, you will gain hands-on experience implementing and working with leading-edge tools to support compliance assurance and enhance oversight across all stages of the company's advice process.

Key Responsibilities

• Assist with the development, implementation, and maintenance of company-wide compliance policies, procedures, and frameworks
• Deliver compliance training to staff and advisers on relevant regulations, internal procedures, and best practices
• Conduct ongoing compliance reviews and assess the effectiveness of internal controls
• Identify and elevate compliance risks, and recommend mitigation strategies
• Monitor regulatory changes and ensure the business is proactively adapting to new obligations
• Maintain accurate records of compliance activity and incidents
• Collaborate with key stakeholders, including financial advisers, industry bodies, the Financial Markets Authority (FMA), and Financial Dispute Resolution Body (FDRB)
• Deal with any customer complaints in relation to the advisor or company conduct, advice or services.

What We're Looking For

• A minimum of 2-3 years experience in a compliance or risk conduct role, ideally within the financial services sector.
• Strong understanding of New Zealand's regulatory environment for financial services
• Knowledge of Responsible Lending Code, CCCFA, and other regulations.
• Proven experience in developing and implementing compliance frameworks
• Excellent communication, interpersonal, and stakeholder management skills
• Strong analytical and problem-solving abilities
• Ability to work independently, prioritise effectively, and manage multiple projects concurrently

What We Offer

• Competitive salary package
• An empowering and inclusive company culture with a strong focus on people development
• Opportunity to work closely with an experienced and supportive Head of Compliance who will act as a mentor
• A platform for career growth in a fast-paced and respected financial services brand