Compliance Officer

CO_MMCLTD Apex Investment Administration (NZ) Limited; Wellington; On-site; NZD 90,000 - 135,000; Full time

Benefits offered by this job

Training and development

Competitive remuneration

Global exposure

Job summary

Apex Group is seeking a Compliance Officer to support the Compliance Manager across New Zealand. You will deliver monitoring, reporting, policy coordination and provider oversight to sustain regulatory obligations. Collaboration with Operations, Risk and governance committees is essential.

The role requires a minimum of 3 years in financial services compliance, with strong AML/CFT and regulatory reporting knowledge, and a professional qualification such as ACAMS is desirable.

Qualifications

• Minimum 3 years of compliance experience in financial services.
• Strong knowledge of AML/CFT obligations and related regulations.
• Familiarity with regulatory frameworks (FATCA/CRS) and CDD.
• ACAMS or equivalent qualification desirable.
• Analytical thinker with detail-oriented approach.

Responsibilities

• Perform compliance monitoring and assurance activities.
• Support day-to-day compliance reporting including periodic assessments.
• Lead policy review coordination and lifecycle management.
• Oversee provider onboarding, due diligence and reviews.
• Prepare statutory returns and regulatory filings.
• Advise stakeholders on regulatory obligations.
• Keep management informed of regulatory developments.

Skills

AML/CFT obligations

CDD & transaction monitoring

Regulatory reporting

Stakeholder management

Communication skills

Data analysis & reporting

Tools

Microsoft Word

Microsoft Excel

PowerPoint

Job description

The Apex Group was established in Bermuda in 2003 and is now one of the world's largest fund administration and middle office solutions providers. Our business is unique in its ability to reach globally, service locally and provide cross-jurisdictional services. With our clients at the heart of everything we do, our hard-working team has successfully delivered on an unprecedented growth and transformation journey, and we are now represented by over circa 13,000 employees across 112 offices worldwide.

Your career with us should reflect your energy and passion. That's why, at Apex Group, we will do more than simply 'empower' you. We will work to supercharge your unique skills and experience. Take the lead and we'll give you the support you need to be at the top of your game. And we offer you the freedom to be a positive disrupter and turn big ideas into bold, industry-changing realities. For our business, for clients, and for you

Compliance Officer

Location : Wellington or Auckland, New Zealand

Description

As a Compliance Officer, you will provide compliance support to the Compliance Manager and the wider Compliance team. You will act as a trusted adviser, business partner, and collaborative team member, helping Apex meet its compliance obligations across New Zealand. You will contribute to a broad range of compliance activities, including business-as-usual compliance support, monitoring and assurance activities, regulatory reporting, and the ongoing enhancement of Apex's compliance framework. Working closely with key stakeholders across Operations, Risk, and other business areas, you will help ensure the timely delivery of compliance obligations.

What you will be doing

• Perform compliance monitoring and assurance activities in accordance with the Compliance Assurance Programme.
• Support day-to-day compliance reporting requirements, including weekly and monthly reporting, periodic compliance risk assessments, and compliance analysis and reporting.
• Lead the coordination of local and global policy reviews, including the end-to-end management of the policy approval, implementation, and adoption lifecycle.
• Lead outsourced provider oversight activities, including the coordination of provider onboarding, due diligence, and ongoing review processes.
• Prepare and submit statutory returns and filings.
• Provide compliance advice and guidance to business stakeholders on regulatory obligations and compliance-related matters.
• Maintain a current understanding of applicable regulatory requirements and industry developments relevant to Apex and provide advice to management and stakeholders as required.
• Contribute to compliance reporting for governance committees, senior management, and Boards.
• Support the ongoing enhancement of compliance processes, controls, policies, and frameworks to strengthen the overall compliance culture.
• Identify and implement opportunities to improve the efficiency, consistency, and effectiveness of compliance activities.
• Provide support to the AML Compliance Officer and Privacy Officer, as required.
• Undertake other duties and responsibilities as assigned by the Compliance Manager.

Skills Required

A minimum of 3 years' compliance experience within the financial services industry, although consideration may also be given to a high-performing graduate.

Strong understanding of AML/CFT obligations, customer due diligence (CDD), transaction monitoring, sanctions screening, and suspicious activity reporting requirements.

Sound knowledge of key regulatory frameworks and requirements, including the Financial Markets Conduct Act, Anti-Money Laundering and Countering Financing of Terrorism Act (AML/CFT Act), Foreign Account Tax Compliance Act (FATCA), and Common Reporting Standard (CRS).

Professional compliance qualification (e.g. ACAMS or equivalent) is desirable.

A pragmatic and analytical thinker with strong problem-solving skills and the ability to provide practical solutions and recommendations.

Strong attention to detail and commitment to accuracy and quality.

Highly organised, with the ability to manage competing priorities, work under pressure, and consistently meet deadlines.

Excellent stakeholder management skills, with the ability to build effective working relationships and work both independently and collaboratively within a team environment.

Excellent written and verbal communication skills, with the ability to clearly convey complex compliance and regulatory matters.

Strong proficiency in Microsoft Office applications, including Word, Excel, PowerPoint, and experience in data analysis, reporting, and presentation preparation.

What you will get in return

• A genuinely unique opportunity to be part of an expanding large global business
• Competitive remuneration commensurate with skills and experience
• Training and development opportunities

Additional information

We are an equal opportunity employer and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnicity, age, sexual orientation, socio-economic, responsibilities for dependants, physical or mental disability. Any hiring decision are made on the basis of skills, qualifications and experiences. We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet. For more information on our commitment to Corporate Social Responsibility (CSR) please https://www.apexgroup.com/corporate-social-responsibility/

About Apex Group

We are dedicated to driving positive change in financial services while fuelling the growth and ambitions of asset managers, allocators, financial institutions, and family offices. Established in Bermuda in 2003, the Group has continually disrupted the asset serving industry through our investment in innovation and talent.

Today, we set the pace in asset servicing and stand out for our unique single-source solution and unified cross asset-class platform which supports the entire value chain, harnesses leading innovative technology, and benefits from cross-jurisdictional expertise delivered by a long-standing management team and over 13,000 highly integrated professionals.

We're a people-powered business, and our people are full of ambition. Together, we're inspired to lead the new era of data and tech enabled service. Bringing new products and services to market. Sharpening our client focus. Disrupting the market to exceed expectations. Innovating across a range of specialisms. With our focus on making a difference to our people, our planet and our society, you'll experience more here than you would at most other companies. Prepare to accelerate. We're a people-powered business with a vision to inspire a new era of service-led FinTech. We're expanding globally and offering more to our clients. This means you get more opportunities to grow with us. So prepare to accelerate. We'll make sure the time and effort you put in takes you further, faster. Positive change starts with you. We're a people-powered business with a vision to inspire a new era of service-led FinTech. We're expanding globally and offering more to our clients. This means you get more opportunities to grow with us. So prepare to accelerate. We'll make sure the time and effort you put in takes you further, faster. The journey is yours to own. When you stretch yourself, you grow. We want you to explore ways of working that will see you thrive as part of something bigger. We'll help you with a solid structure, challenging projects, vibrant networks, supportive colleagues and approachable leaders. All the things you need to own your unique journey.

Find out more about us