Senior Risk and Compliance Officer

Poduzeće: Preston and Blythe
Vrsta posla: Full-time
Industrija: Finance

We are seeking an experienced Compliance professional for a licensed investment firm located in Auckland CBD. They offer leveraged foreign exchange and other trading services, cash dealing, securities brokerage, and management services for clients.

This role is directly reporting to the Head of Risk and Compliance assisting to identify, analyse and report all compliance related matters around company products and business operations, establish and review the current compliance programs and procedures to ensure the company legal and license obligations are met.

These are some of the key responsibilities for this role:

  • Identify, analyse and report risks for company products and the business operation
  • Conduct investigation from time to time under the supervision
  • Assist in implementing AS/NZ 4360: Risk Management
  • Understand and implement any changes in terms of legislation and license requirement
  • Complaints handling
  • Handling errors, incidents and provide recommendations
  • Perform daily and periodic compliance monitoring to ensure the company’s compliance with its licensing obligations and the NZX Market Participant rules
  • Compliance document and procedures monitoring

As YOU are a Senior Compliance Specialist, you will have:

  • A bachelor's degree or above in Finance, Economics or other related disciplines;
  • Practical experience of wide range of financial instruments;
  • Knowledge of trading room products and relevant experience in assessing market risk from either financial markets or a corporate treasury environment;
  • Superior analytic, research and problem-solving skills;
  • Structured, organised, detail-attentive and process orientated;
  • A high level of PC skills;
  • A self-starter with the ability to work under pressure to tight timescales with minimal supervision;
  • Ability to work effectively within a team environment;
  • Excellent interpersonal skills combined with excellent written and oral communication skills

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