Adviser Quality & Conduct Lead, Auckland
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Hiring for Kiwi Adviser Network

Adviser Quality & Conduct Lead

  • Posted 4d ago
  • On Site
  • Full Time

Highland Park, Auckland

Job Description


Please Quote Reference Number 18700


  • Lead compliance, conduct, and risk across a growing FAP
  • Position based in Highland Park, Auckland
  • Join the team at Kiwi Adviser Network


About Kiwi Adviser Network


Kiwi Adviser Network (KAN) is a financial advice provider (FAP) business based in Highland Park, Auckland. We help mortgage, KiwiSaver and insurance FAP and advisers across New Zealand run profitable and compliant businesses. Powered by Trail CRM, KAN gives financial advisers the freedom to let go of the administration burden to focus on what they do best - giving great financial advice.


About the Role


We are seeking an Adviser Quality & Conduct Lead to take ownership of our quality assurance and adviser conduct framework. Sitting between operational leadership and frontline advisers, this role elevates traditional file reviews into broader oversight - driving network-wide advice standards, guiding conduct investigations, and mentoring advisers through practical risk management.


You will bridge strategy and day-to-day delivery, ensuring our compliance framework is robust, accessible, and focused on achieving excellent client outcomes without unnecessary administrative friction.


Key Responsibilities:


  • Lead Quality & Conduct Oversight: Drive quality assurance initiatives across the network, ensuring file reviews, conduct monitoring, and risk evaluations are practical, accurate, and aligned with industry standards.
  • Framework Enhancement: Refine and maintain user-friendly advice guidelines, compliance procedures, and practical risk controls that support advisers in meeting their obligations.
  • Investigations & Remediation: Oversee investigations into compliance failures, conduct matters, and complex complaints, delivering clear reports and constructive, relationship-focused remediation plans.
  • Onboarding Due Diligence: Provide senior-level risk assessments and second-tier due diligence for higher-risk or complex adviser onboarding matters.
  • Guidance & Mentorship: Support advisers and internal team members with practical guidance on FSLAA, ethics, privacy, and sound business practices.
  • Audit & Governance Reporting: Coordinate documentation for lender requests, internal reviews, and governance reporting while tracking remediation actions to completion.


What You'll Bring:


  • Solid experience in financial advice compliance, quality assurance, or conduct oversight within the NZ mortgage, insurance, or investment sectors.
  • Strong working knowledge of New Zealand financial services legislation (including FSLAA) and practical risk management.
  • Excellent communication and relationship-building skills, with a proven ability to translate regulatory - expectations into clear, practical guidance.
  • Sound analytical judgement and a constructive, problem-solving mindset when addressing emerging risks or breaches.
  • The New Zealand Certificate in Financial Services (Level 5) or equivalent qualification is highly regarded.


Benefits Include:


  • Work with a supportive, innovative team that celebrates success and enjoys the journey.
  • Enjoy ongoing training, genuine autonomy, and real opportunities for professional growth.
  • Based in Highland Park: easy parking, minimal traffic, and regular team walks, often with our office pets.
  • A workplace culture that values trust, balance, and authenticity.


How to Apply


If you are passionate about elevating adviser standards and empowering financial professionals to thrive, submit your application through our online application form today.


Please Quote Reference Number 18700

Desired Hard Skills

  • Audit Reporting
  • Compliance Management
  • FSLAA Knowledge
  • Quality Assurance
  • Risk Management

Desired Soft Skills

  • Analytical Judgement
  • Communication
  • Mentoring
  • Problem Solving
  • Relationship Building

Culture

  • 🌈 Rainbow Tick
  • 💸 Living Wage

Job Schedule

  • Monday to Friday

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