Join a locally owned financial services company dedicated to empowering New Zealanders to grow their wealth and financial confidence. This role is crucial in managing and developing the Compliance Assurance Programme, conducting audits, and ensuring that operations meet the highest standards of compliance and effectiveness. You will collaborate with both internal and external stakeholders, assessing and improving controls and processes to support business growth.
What You'll Do:
Lead and deliver the Compliance Assurance Programme, ensuring effective planning, documentation, and execution of assurance activities.
Develop and maintain assurance plans, including those related to internal, external, and compliance-specific audits.
Conduct internal reviews to evaluate and enhance the effectiveness of operations, internal controls, and compliance with processes, procedures, and relevant audit standards.
Assess and ensure compliance with applicable Acts, industry guidelines, policies, and procedures.
Act as the key liaison for external audits, including controls audits/ISAE-3402, and regulatory monitoring visits or reviews.
Prepare detailed reports and clear communications for internal and external stakeholders, maintaining accurate records and documentation.
Support governance activities by coordinating key meetings, agendas, and minutes.
Drive the development and maintenance of Obligations and Controls Registers, including mapping relevant processes and controls.
Contribute to ad hoc risk and compliance projects as required.
Stay updated with internal audit industry standards through ongoing professional development.
What You'll Bring:
Big 4 Consultancy background
Previous experience in the financial services sector is preferred
Project Management skills
Experience with Process mapping and related software
High level of initiative/ ‘can do’ attitude
Pragmatic problem-solving skills
High level of accuracy and attention to detail
Ability to work in-office 5 days a week
For more information or a confidential chat please contact Luke Gilbert on 021 084 85188 or luke.gilbert@robertwalters.co.nz.
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.
