Our client is on the hunt for a Fund Compliance Analyst, a trusted advisor on product compliance matters. This role will support the Head of Compliance to ensure adherence with regulatory and licensing requirements for their fund hosting business, and assist in risk-related tasks across the organisation. The company is an innovative and growing entity, keen to lead a step-change in the quality, efficiency, and sophistication of the financial services industry.
Opportunity to work in a dynamic and experienced team
Innovative and rapidly growing company leading change in the financial services industry
Growth Opportunity and Industry leading development on offer
What You'll Do:
As a Fund Compliance Analyst, you will be responsible for maintaining compliance with licensing conditions while overseeing the product compliance calendar. You will develop policies, processes, and controls to support existing and future fund hosting activities. Your role will involve leading due diligence activities on providers, preparing documents for agreements with prospective Investment Managers, assisting in drafting offer documents, contracts for review, monitoring reports from providers, among other responsibilities.
Maintain compliance with licensing conditions
Oversee the product compliance calendar, ensuring adherence to all regulatory reporting requirements
Develop policies, processes and controls to support existing and upcoming fund hosting activities and requirements
Lead due diligence activities on providers and coordinate provision of due diligence information
Prepare documents for agreement with prospective Investment Managers and other parties where required
Assist in preparing drafts of offer documents and contracts for review and agreement
Monitor and review reports and certifications from providers including Investment Managers, sub-custodians and registry and custody services where applicable
Experience Required:
Experience within the financial services industry in New Zealand in funds management essential
Strong understanding of financial services and investment management systems and processes
Understanding of the FMCA and financial markets regulatory requirements
Relevant tertiary or post tertiary qualification. A tertiary qualification in law is advantageous
Experience in a legal, risk or compliance role
Demonstrable success supporting senior leaders with the development of risk and compliance strategies
Please contact Luke Gilbert on 021 084 85188 or luke.gilbert@robertwalters.co.nz for more information and details on this role.
Please note applicants will be interviewed as they come in and this role will be fast-moving.
Robert Walters endeavours to review all applications in a maximum of five working days. If you have not received correspondence within this timeframe please do not hesitate to contact Luke Gilbert on 04 471 9700.
