Senior Compliance Manager, Auckland
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Robert Walters

Senior Compliance Manager

  • Posted Today
  • Hybrid
  • Full Time

Auckland

Job Description

Are you ready to take on a pivotal role with a fast-growing financial services firm? We are seeking a Senior Compliance Manager to help establish and oversee compliance operations for our client’s expanding presence in New Zealand. This is an exciting opportunity to join a dynamic organisation at the forefront of the financial services industry.


About the Role:


As the Senior Compliance Manager, you will provide hands-on compliance oversight and real-time advice to support the growth of the New Zealand business. Reporting to the Head of Compliance, you’ll ensure alignment with local regulatory requirements while collaborating with teams across multiple jurisdictions. This role offers significant scope to shape compliance frameworks and make a tangible impact as the business continues to grow.


Key Responsibilities:


  • Provide real-time compliance advice on sales and trading queries, client onboarding, and conflicts management.
  • Maintain strong relationships with regulators and oversee licensing and registration processes.
  • Monitor regulatory developments and implement necessary changes through policies, procedures, training programmes, and control processes.
  • Manage compliance breaches, including regulatory notifications where required.
  • Prepare governance reports for senior stakeholders and maintain compliance systems.
  • Collaborate with global compliance teams to ensure consistency in standards across jurisdictions.
  • Identify opportunities to improve compliance processes using efficiency tools or AI technologies.


About You:

We’re looking for a commercially minded compliance professional who thrives in a fast-paced environment. You’ll bring:


  • A degree in law, finance, commerce (or equivalent experience).
  • 5+ years’ experience in financial services compliance (broking/investment banking/markets/funds management preferred).
  • Knowledge of NZX Participant Rules and New Zealand regulatory frameworks (FMA/FMC Act).
  • Experience in compliance monitoring, policy drafting, breach assessment, and regulatory reporting.
  • Strong analytical skills with the ability to translate regulations into actionable guidance.
  • Self-motivation, adaptability, and a proactive approach to problem-solving.


What’s on Offer:


This is your chance to join a leading financial services firm during an exciting period of growth. The role offers:


  • A competitive salary package with performance-based bonuses.
  • The opportunity to shape compliance operations for the New Zealand business.
  • Exposure to multi-jurisdictional operations within a collaborative team environment.


If you’re solutions-focused, adaptable, and ready for an exciting challenge – we’d love to hear from you!


How to Apply:


Please submit your CV today.

For more information about this opportunity, contact Penny Eglinton at penny.eglinton@robertwalters.co.nz or Willy McBride at willy.mcbride@robertwalters.co.nz

Desired Hard Skills

  • Regulatory Reporting
  • Analytical Skills
  • Compliance Monitoring
  • Policy Drafting

Desired Soft Skills

  • Adaptability
  • Proactive Problem-solving
  • Self-motivation

Additional Compensation

  • Performance Bonus

Benefits & Perks

Culture

  • 🏎 Competitive Salary
  • 🏆 Performance Bonus
  • 🌐 INZ Accredited Employer

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