Compliance Assurance Adviser
The Compliance Assurance Advisor is responsible for contributing to and implementing the organisation's compliance framework.
Summary about this job
Compliance & Risk
Company: Trustees Executors
Location: Wellington
Work type: Full Time
Salary: n\a
Phone: +64-3-292-5036
Fax: +64-4-249-9623
E-mail: n\a
Site: n\a
Detail information about job Compliance Assurance Adviser. Terms and conditions vacancy
- Do you want to join an iconic Kiwi firm?
- Bring your strong relationship skills
- Receive the opportunity to expand your knowledge
Do you have risk, compliance or audit experience within financial services? Do you want to join an iconic Kiwi firm and work with great people?
Trustees Executors Ltd is a statutory NZ trustee company that has been providing a full range of financial, supervisory and trustee services for over 135 years.
The Compliance Assurance Advisor is responsible for contributing to and implementing the organisation's compliance framework. The primary responsibility is to engage with staff from various business units to undertake 'second line' compliance assurance initiatives. The objective is to ensure TEL consistently and effectively meets its ongoing regulatory and ethical obligations. The role reports into our Compliance Manager in Wellington.
Key responsibilities:
- Monitoring and compliance assurance; advising on the adequacy of business controls, reporting on business unit compliance with legislation/policies and the maintenance of compliance assurance programmes
- Compliance reporting and register maintenance; the co-ordination, compilation and maintenance of agreed business actions and/or compliance registers
- Advice and guidance; drafting company policies and guidance and proactively working with the businesses to ensure they have sufficient information to be able to implement processes. There is also a requirement to assist the Compliance Manager with training our people on emerging compliance issues
We're looking for someone with:
- experience within a compliance, operational risk, quality assurance or audit related discipline
- a relevant tertiary qualification (business, accounting or legal) or significant industry experience
- ideally at least five years experience within the financial services industry (preferably within Kiwisaver, custody, financial advice, trust management or supervision)
- a good understanding of the regulatory environment, in particular the Financial Markets Conduct Act 2013
- knowledge, skills, experience of compliance or internal assurance programmes and related tools/software
- experience either designing controls or assessing their effectiveness
- strong relationship skills with confidence to constructively challenge peers and managers on operational risk and control improvements
- strong analytical mind with a healthy degree of professional curiosity and scepticism
- exceptional written and verbal 'plain English' communication skills.
This role provides plenty of opportunity to expand your knowledge and to be part of a motivated Risk and Compliance team. For more information or a job description, please contact us by emailing [email protected] or call the HR team on 04 495 0991.
Applications close on Wednesday, 25 July 2018.
Applications from direct applicants who are legally entitled to work in New Zealand, only. No agencies please.
www.trustees.co.nz