Compliance & Legal Manager

Newly created role, key NZ legal/compliance advisor for growing team, Manage regulatory/legal standards, codes, policies. Positive team, growing firm

  • Manage NZ corporate & financial services regulator relationships
  • Create & implement strategy, structures & frameworks
  • Drive compliance, regulatory & legal process & programs

Job Description

Our Client is a well established financial services group. They are very well funded and operate without Securitisation, so can play close to prime markets, as well as specialised residential or investment debt.

Their Auckland office has grown over recent years with teams split across Credit, Sales, Marketing and Operations. This growth has created the need for a NZ Compliance & Legal Manager, who can strategise, impliment, improve and control NZ regulatory compliance and operational processes, including legislation, regulations, standards, codes and internal policies.

This is a senior role and will suit someone coming from a banking or financial services compliance, risk or legal background who enjoys the challenge of implimenting and upholding compliance/regulatory issues such as AML, CFT, CCFA etc.

It’s a fantastic opporuntiy to manage and impliment NZ regulatory policy frameworks, training and reporting across a wide range of processes, rather than working in vertical spaces within much larger compliance, legal or risk teams. The culture is very agile without some of the layers of bureaucracy within much larger organisations.

Ideally you’re currently a Compliance, Risk or Inhouse Legal professional with experience across banking or finance retail or consumer lending compliance and legal regulatory process and are LLB qualified to practice Law in NZ. This is a unique opportunity to run your own show and connect across credit, sales and relationship processes within a busy and growing team.

For more information, please contact or send your CV in confidence to Chris Heswall at

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