" \u003cdiv class=\"ja-job-details\"\u003e \u003ch2 class=\"title\"\u003eAdvice Compliance Lead/ Manager\u003c/h2\u003e \u003cdiv class=\"meta\"\u003e \u003cul class=\"classifications\"\u003e \u003cli data-id=\"20857\"\u003e Banking \u0026amp; Finance \u003c/li\u003e \u003cli data-id=\"20858\"\u003e Treasury and/or Risk Specialist \u003c/li\u003e \u003cli data-id=\"20859\"\u003e Auckland \u003c/li\u003e \u003cli data-id=\"20860\"\u003e Permanent / Full Time \u003c/li\u003e \u003c/ul\u003e \u003cp class=\"date-posted\"\u003e 5/11/2026 \u003c/p\u003e \u003c/div\u003e \u003cul class=\"bullet-points\"\u003e \u003cli\u003eJoin a growing financial services group supporting 1,000+ advisers\u003c/li\u003e \u003cli\u003eTake ownership of FAP compliance, conduct, complaints and remediation\u003c/li\u003e \u003cli\u003eWarm Supportive Team\u003c/li\u003e \u003c/ul\u003e \u003cdiv class=\"description\"\u003e \u003cstrong\u003eYour new role\u003cbr\u003e\u003c/strong\u003e\u003cbr\u003e Reporting to the Head of Compliance, you will provide technical financial advice compliance expertise across an adviser and authorised body network.\u003cbr\u003e\u003cbr\u003e You will work closely with advisers, Distribution, Operations and the wider Risk \u0026amp; Compliance team to assess compliance concerns, investigate conduct issues, manage complaints and ensure appropriate remediation. You will also help improve compliance frameworks and translate regulatory requirements into practical guidance that supports both good customer outcomes and sustainable growth.\u003cbr\u003e\u003cbr\u003e \u003cstrong\u003eResponsibilities\u003c/strong\u003e\u003cbr\u003e \u003cul\u003e \u003cli\u003eManage the practical application of FMCA requirements, FAP licence conditions, the Code of Professional Conduct and disclosure obligations\u003c/li\u003e \u003cli\u003eProvide practical compliance guidance around advice, disclosures, conflicts, referral arrangements and remuneration\u003c/li\u003e \u003cli\u003eAssess compliance concerns arising from assurance findings, complaints, monitoring and lender referrals\u003c/li\u003e \u003cli\u003eInvestigate adviser conduct concerns and potential breaches, including assessing customer impact and recommending appropriate action\u003c/li\u003e \u003cli\u003eManage complaints through investigation, resolution and closure, including external dispute resolution matters where required\u003c/li\u003e \u003cli\u003eUse AI tools appropriately to improve compliance analysis, reporting and processes\u003c/li\u003e \u003c/ul\u003e \u003cstrong\u003eWhat we\u0027re looking for\u003c/strong\u003e\u003cbr\u003e \u003cul\u003e \u003cli\u003eDirect, hands on compliance experience within a licensed New Zealand FAP\u003c/li\u003e \u003cli\u003eStrong knowledge of FMCA financial advice requirements, FAP licence conditions, the Code of Professional Conduct and disclosure obligations\u003c/li\u003e \u003cli\u003eExperience working with advisers and ideally authorised bodies\u003c/li\u003e \u003cli\u003ePractical experience investigating complaints, conduct concerns or potential breaches\u003c/li\u003e \u003c/ul\u003e \u003cstrong\u003eWhy consider this opportunity?\u003c/strong\u003e\u003cbr\u003e \u003cul\u003e \u003cli\u003eAuckland based hybrid working with a minimum of three days in the office\u003c/li\u003e \u003cli\u003eWork directly with an experienced Head of Compliance and senior leadership team\u003c/li\u003e \u003cli\u003eSmall, close knit environment where you can see the impact of your work\u003c/li\u003e \u003cli\u003eGenuine opportunity to combine technical compliance expertise with commercial and practical decision making\u003c/li\u003e \u003c/ul\u003e This role will suit someone who enjoys taking ownership of compliance issues and working through them to resolution. We are particularly interested in candidates who can demonstrate what they have personally investigated, resolved and improved within a New Zealand FAP environment.\u003cbr\u003e\u003cbr\u003e \u003cstrong\u003eHow to Apply\u003c/strong\u003e\u003cbr\u003e To apply for this position, submit your CV by following the link below. For a confidential discussion please email \u003cstrong\u003eChris Martin\u003c/strong\u003e at \u003cstrong\u003echris.martin@findrecruitment.co.nz\u003c/strong\u003e.\u003cbr\u003e\u003cbr\u003e \u003cstrong\u003eGot a friend? If you know anyone that may be suitable, forward on the advert and you can get a $300 referral voucher when they are placed! Details are at: https://findrecruitment.co.nz/refer-a-friend/\u003c/strong\u003e \u003c/div\u003e \u003cdiv class=\"apply\"\u003e \u003ca class=\"back-link\" href=\"#\" title=\"Back to search results\"\u003eBack to search results\u003c/a\u003e \u003cinput type=\"button\" class=\"ja-button\" data-job-id=\"4483807\" value=\"Apply Now\" title=\"Apply Now\" /\u003e \u003c/div\u003e \u003c/div\u003e "