Senior Compliance Manager

Great opportunity to use your regulatory compliance knowledge to further your career with this financial services organisation.

  • Progressive financial services organisation
  • Small, professional, friendly team
  • CBD Location

Our client, an established Non-bank Deposit Taker, listed on the ASX, is looking for a Compliance Manager to join their team.


  • You will have a sound working understanding of compliance matters i.e. AML and CFT and use your experience to ensure our legal obligations are being met with external agencies (e.g. FMA, RBNZ), to monitor and report within timelines, and ensure the company’s policies and procedures are being followed.
  • Monitor the performance of the compliance programmes and related activities on a continuing basis; take appropriate steps to look for continuous improvement and effectiveness.
  • Initiate and be proactive on all compliance activities within the group to identify trends, potential areas of vulnerability and risk.  Make recommendations on how to deal with any identified situations.


  • You will co-ordinate key reports on a regular basis for management and the Company’s Board, and external agencies (i.e. monthly reviews of deposits received, AML Register, Health & Safety, AML reporting to RBNZ).  Manage deadline schedule for the filing of reports with external regulatory agencies (RBNZ, Trustee, FMA and Stock Exchange).  With some of these reports, your role would be to co-ordinate and ensure internal staff, Board and our consultants comply with deadlines.


  • You will initiate collaboration with other internal departments (e.g. Credit, Lending,  Operations, Risk and Deposits) to provide guidance and training on compliance issues, (i.e. review the risk management programme, develop a review programme for policy and procedures, support Deposits on all queries relevant to AML legislation).


  • When required liaise with the Trustees on all matters relating to the Deposit Trust Deed, PDS and NBDT Licensing requirements.
  • Review and update the Product Disclosure Statement.  Prepare responses to queries from the Trustee.


  • Maintain the company share register and Group Company registers on the FSPR, Disclosure Register, and Companies Office Register.
  • File Annual Returns and Annual Confirmations for the Company and related entities on the FSPR and Disclosure Register.


  • Eligible to work in NZ and at least 4-5 years’ experience ideally within the banking or financial sectors.  A good working knowledge of regulatory compliance.
  • Utilise your analytical mind-set to research and investigate any issues which arise, utilizing your knowledge to interpret legislative change.  Be able to articulate points clearly and write succinctly;
  • Qualification must be in finance,  commerce or related discipline.
  • Ability to work under pressure and within tight deadlines;
  • Good relationship building ability, sense of humour, excellent communication and organisation skills;
  • Intermediate to advanced MS applications, particularly Word, Excel, skills and experience in compiling and populating reports/templates.

If you tick all of the above boxes and would like to know more about this role please apply by clicking on the link or by sending your CV to Chris Heswall at

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