Risk & Compliance Manager | Funds Management

Job title: Risk & Compliance Manager | Funds Management

Company: DGA


Job description: Our client is a purpose-led financial services organisation seeking to appoint a pivotal role within its investment management business. Well established and managing over $2 billion in assets on behalf of clients and investors, they offer a range of ethical investment products across global and domestic equities, property, and fixed income.Reporting to the General Manager – Investment, the successful candidate will be responsible for managing the organisation’s risk and compliance framework and contributing more broadly to the success of the business.The Role

• Manage the organisation’s compliance framework, including the Compliance Assurance Programme, Obligations Register, and Compliance Checklist.
• Lead the Compliance Committee: prepare agendas, papers, and chair quarterly meetings.
• Manage the Due Diligence Committee, including preparation of the PIE Funds annual report and certification process.
• Oversee the AML/CFT compliance programme, including monitoring practices, the three-yearly AML audit, and KYC processes.
• Provide oversight of the organisation’s risk environment, maintain policies and procedures, and ensure all staff complete annual policy attestations.
• Manage third-party relationships with administrators, custodians, the MIS Supervisor, regulators (e.g., FMA and Privacy Commissioner), and legal advisers.
• Deliver on key FMA and Supervisor obligations, including monthly/quarterly certificates, Supervisor meetings, annual returns, and other regulatory filings.
• Monitor the regulatory landscape, assess implications for the business, and brief the Senior Leadership Team and Board on upcoming changes and regulatory requests.

About You

• 10+ years of experience in risk and compliance, ideally within financial or professional services.
• Strong understanding of Managed Investment Schemes (MIS) and regulatory/licensing frameworks (e.g., REAA).
• Pragmatic and solutions-focused.
• Excellent verbal and written communication skills.
• Proven ability to influence and build relationships across senior stakeholders.
• Relevant tertiary qualification, ideally in law.

In return, our client offers a collaborative and values-driven environment, an attractive remuneration package, on-site car parking, and flexible working arrangements.To discuss this opportunity in confidence, please contact Carlos Kirkwood-Ale on +64 22 186 1077 or click ‘Apply Now’ to submit your application Ref: CKA1342632.

Expected salary:

Location: Auckland

Job date: Sat, 31 May 2025 01:33:50 GMT

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