Risk & Compliance Analyst

About First Cape | Mo FirstCape

FirstCape is one of New Zealand’s largest and best resourced wealth advisory and asset management business, creating an enhanced and broadened product offering to help our clients achieve their goals at whatever stage of their investment life cycle. Here at FirstCape, we believe that our people are our greatest asset. Our success is dependent on the collective talent, expertise, and dedication of each and every one of our team members. We are committed to creating an environment where everyone can thrive, grow, and contribute to their fullest potential.

About the opportunity | Mo te whai waahi

We’re looking for a Risk and Compliance Analyst to join our Legal, Risk and Compliance team, supporting our Asset Management business – Harbour Asset Management.

Reporting to the Risk and Compliance Manager, you’ll provide compliance assurance testing and help develop and maintain risk management profiles and frameworks. You’ll work with risk owners across the business to identify, measure, manage and mitigate business risks, while also supporting the wider team with general risk and compliance activities.

This is an opportunity to use your analytical capability, regulatory knowledge and stakeholder skills to strengthen our control environment, improve risk reporting and support a proactive risk and compliance culture.

Key Responsibilities | Ngā Kawenga Mahi

• Apply a continuous improvement mindset to risk, compliance and control frameworks, policies and procedures.
• Act as a subject matter expert for the Asset Management risk system, Protecht.
• Develop reporting and analytics to support stakeholders, including risk profiles and Key Risk Indicators.
• Work with business owners to identify and document risks, obligations and controls, and help improve associated processes.
• Assist in maintaining the assurance framework and conduct independent control testing to identify meaningful themes and insights across the control environment.
• Assist with complaints oversight, including monitoring trends, reporting outcomes and following up actions where required.
• Support remediation activities arising from incidents, complaints
• Collaborate with the Legal, Risk and Compliance Team to share accountability for ensuring the NZ business meets with its regulatory responsibilities
• Support ongoing compliance with Harbour's regulatory obligations and internal compliance framework.
• Improve the control environment and the way control assessments are performed, including through increased automation.
• Support ongoing compliance with Harbour's regulatory obligations and internal compliance framework.
• Support compliance reviews, regulatory enquiries and periodic reporting requirements
• Provide timely, fit-for-purpose reporting and insights on risks and controls to relevant stakeholders.
• Monitor emerging risks and support the business to take appropriate pre-emptive action.
• Conduct market scans and bring relevant external ideas and risk and compliance practices into the business.
• Represent Asset Management at relevant industry events and forums.

What you will bring to the role | He aha ka kawea e koe ki te mahi

You’ll bring sound judgement, commercial awareness and a collaborative approach, together with the confidence to provide clear advice and constructive challenge.

We’re looking for:

• At least two years’ experience in a legal, risk or compliance environment, preferably within funds management or banking.
• Experience working in risk, internal audit or financial services.
• Working knowledge of the laws, regulations and rules governing New Zealand’s financial services industry, particularly the Financial Markets Conduct Act, Anti-Money Laundering and Countering Financing of Terrorism Act and KiwiSaver legislation.
• An understanding of financial markets and the economic environment relevant to asset management.
• Knowledge of asset management businesses, products and industry practices.
• Strong analytical, reasoning and problem-solving skills.
• The ability to synthesise information from different sources and turn it into practical insights.
• Effective stakeholder engagement, relationship-building and influencing skills.
• Strong presentation and communication skills, with the ability to listen, understand and communicate with a range of stakeholders.
• Good prioritisation and time-management skills.
• A proactive, client-focused approach with drive and energy.
• Flexibility and resilience.
• Experience using a risk management system, or strong general systems capability, would be beneficial.

Why work at FirstCape? | He aha mahi i te FirstCape?

We offer a competitive compensation package commensurate with experience. Additional benefits include wellbeing support, volunteer days and a great company culture. We pride ourselves on offering our employees outstanding development and learning opportunities to support career growth, and the opportunity to work alongside the best talent in the market.

We are an inclusive employer and want our workforce to reflect a rich and diverse way of thinking and working. We know people are more than a single identity and the qualities that make each one of us unique need to be valued and embraced. So regardless of your gender, age, background or how you choose to identify, there's room for you to realise your potential here. And importantly, there's room to be yourself.

We’re also committed to providing equal opportunities to all candidates. Let us know if you have any accessibility requirements so we can work with you to make adjustments where possible to support your application. Alternatively, if you don’t meet all the requirements of the role but think you would be a great candidate, please apply explaining why you want the role, how you think your skills or background are transferable, and how you plan to upskill where needed (we will support you with this, but want to know you have thought about this too).

To be eligible to apply, you must have the right to work in New Zealand. Please note candidate screening and interviews may be conducted prior to the closing date of the job advert.

interviews may be conducted prior to the closing date of the job advert.