Compliance Manager

Purpose

  • Embed risk management and controls (with a predominantly compliance focus) into systems and manual processes where needed - in partnership with the business units.
  • Test our regulatory compliance (through assurance) to give confidence to the Board regarding control of compliance risk in each business unit.
  • Demonstrate to regulators and funding partners that we apply an appropriate level of resources to risk and compliance.

Essential Functions:

Initial project work:

  • Create a register of compliance obligations (under regulation, our financial licences, our governance documents, funding arrangements, vendor arrangements etc).
  • Update all our policies to ensure they meet risk and compliance obligations.
  • Liaise with the business units to ensure the policies are implemented operationally (ie. so our compliance obligations are being met as through our processes).
  • Develop an assurance program for the testing of our operational compliance.

Ongoing work:

  • Conduct regular, independent assurance testing of the business units’ compliance with our obligations.
  • Evaluate risks associated with each obligation, and consider ways to reduce / mitigate (e.g. through increased automation).
  • Maintain various databases (compliance register, risk register, contracts register etc) and undertake ad hoc risk and compliance work.

Key Competencies

  • Strong analytical and clerical skills
  • Attentive to detail
  • Excellent interpersonal skills
  • Strong verbal and written communication skills
  • Understanding of credit products and general financial concepts

Experience requirements

  • Minimum of 2 years work experience in a compliance, risk, audit, legal, or regulatory function.
  • Experience in any one or more of the following would be valuable: risk management practices, the financial services sector, legal practice, and familiarity with the Australian and/or New Zealand consumer credit regulatory environment (National Consumer Credit Protection Act (AU) and Credit Contracts and Consumer Finance Act (NZ)).

To be considered for this position, you must be an Australian/NZ Citizen or have a Permanent Residency visa.
Email hr@harmoney.co.nz