Strategi is a leading provider of compliance services to the financial services industry. We work extensively with financial advisory firms and FMCA license holders.

Due to additional workload relating to market participant license applications, we require a junior compliance officer who can assist the existing team to help clients obtain new licenses and meet their ongoing compliance obligations.

There is scope for the right candidate to gain a broad base of compliance knowledge, and grow into a more senior role with the company.

The role includes:

• Keeping up to date with changes to industry regulations, and ensuring these are incorporated into all relevant documents;
• Providing compliance training and support for our clients;
• Assisting with compliance reviews and AML/CFT audits to ensure regulatory and industry best practice standards are being achieved;
• Maintaining compliance records to meet legislative standards;
• Assisting with preparing relevant market service licence applications for clients.

The ideal candidate will have a good knowledge of the New Zealand financial services industry and the legislation and regulation surrounding it, attention to detail, good people skills, a current drivers license, and a reasonable level of competence in Word and Excel.

Other factors that are desirable but not essential are a NZ law and/or commerce degree, or a compliance qualification (or working towards a compliance qualification). Fluency in Mandarin (both written and spoken) would be helpful but not essential.

Applications should be forwarded via email to nghate@strategi.co.nz before 22 December 2015.