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Senior Adviser, Supervision

Employer:
Financial Markets Authority
Job Category:
Accounting & finance
City/Town:
Wellington - Wellington
Region:
Wellington - Wairarapa
Job Type:
Ongoing - Full Time
Posted Date:
08-Apr-2019
Closing Date:
28-Apr-2019
File Attachment:
File Links:
Employer Website:

Job Description

  • Unique opportunity to influence the conduct and culture of a range of financial firms.
  • Lead monitoring reviews and licence application assessments of market participants.
  • Join a talented, hard-working team where your contribution will be valued.

The Financial Markets Authority (FMA) aims to promote better outcomes for investors, consumers, professionals, businesses, and the New Zealand economy. The Supervision team is part of the broader Regulation function and monitors the conduct, competency and compliance of financial market participants.

Our Supervision team is at the forefront of industry developments and issues, and our agile approach to market supervision means no two days are ever the same. We have an exciting opportunity for a Senior Adviser to join this team and have responsibility for engaging with a range of market participants, including banks, insurers, fund managers, derivatives issuers and AFAs.

We are looking for someone who understands what good conduct means and how to influence our regulated population to achieve the best outcomes for consumers. You'll take the lead on the supervision of firms by undertaking:

  • risk-based and intelligence-led monitoring reviews - both desk-based and onsite - and recommending the actions firms need to take to address deficiencies;
  • thematic reviews, where industry-wide risks and issues are analysed and addressed;
  • assessments of intelligence received from entities and customers to determine the appropriate regulatory action; and
  • assessments of licence applications.

The role is suited to someone with a background in regulation or the financial services sector. You may come from a banking, insurance, compliance, funds management, legal, or investigative background. You will have an enquiring mind and an understanding of compliance frameworks, principles and methodologies.

Our ideal candidate will have some project experience, have superior interpersonal skills and a natural curiosity, allowing you to work collaboratively to establish positive and productive relationships, both internally and externally. Working as part of a successful team is also essential as our Senior Advisers often coach and mentor Advisers within the team. A working knowledge of the various financial markets legislation would be helpful, such as the:

  • Financial Markets Conduct Act;
  • Anti-Money Laundering/Countering Financing of Terrorism (AML/CFT) Act;
  • Financial Advisers Act; and/or
  • Code of Professional Conduct for AFAs.

In return, we offer a great CBD location, a supportive and collaborative environment where you'll benefit from a technically diverse team that also values a strong work life balance.

If this sounds like you, click 'Apply Online' now! View the position description by clicking the link above or for further information or confidential enquires you can contact Margaret Goldfinch 09 3000 491. Applications close Sunday 28 April 2019.

The Financial Markets Authority is an equal opportunity employer that values diversity and is committed to maintaining an inclusive culture where all employees have the opportunity to reach their potential. We recognise that our continued success is dependent on the performance and ability of our employees.

 

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