Senior Financial Advice Compliance Lead

NZ Financial Services Group; Auckland; Vor Ort; NZD 120.000 - 180.000; Vollzeit

Zusammenfassung

NZ Financial Services Group is seeking an experienced Compliance Lead to manage day-to-day NZFSG compliance across adviser networks. You will oversee investigations of conduct concerns, complaints handling, and remediation, applying NZ financial advice rules to protect customers and support compliant growth.

The role partners with the Head of Compliance and teams across Compliance, Distribution and Operations to continuously improve frameworks and practical guidance for advisers.

Qualifikationen

• Experience in a licensed NZ FAP compliance environment.
• Experience investigating complaints and conduct concerns with customer impact.
• Mortgage or insurance advice experience desirable.

Aufgaben

• Oversee FMCA compliance across the adviser network.
• Investigate complaints and conduct concerns, determine remediation.
• Provide practical guidance on disclosures and conflicts of interest.

Kenntnisse

FMCA knowledge

Regulatory judgement

Relationship management

Investigative skills

AI tools experience

Communication skills

Ausbildung

Financial services qualification

Tools

CRM systems

Compliance software

Jobbeschreibung

NZ Financial Services Group is seeking an experienced Compliance Lead to manage day-to-day NZFSG compliance across adviser networks. You will oversee investigations of conduct concerns, complaints handling, and remediation, applying NZ financial advice rules to protect customers and support compliant growth.

The role partners with the Head of Compliance and teams across Compliance, Distribution and Operations to continuously improve frameworks and practical guidance for advisers.