Distribution Compliance Manager

About Us

We are a New Zealand-owned and award-winning KiwiSaver and wealth management company committed to educating and empowering our customers to make sound financial decisions and achieve strong long-term returns. Our purpose-driven organization prioritizes improving the financial well-being of Kiwis, supporting them in securing better retirement outcomes. Our engaged team fosters a collaborative culture centered on innovation and positive impact on our business, community, and members.

Role Summary

The Distribution Compliance Manager will serve as the expert and leader within Distribution to oversee compliance assurance and quality assurance programs. This involves partnering closely with Distribution management to identify and mitigate risks, conducting detailed quality reviews, delivering actionable feedback, and initiating programs that improve the experience of advisers and members.

Key Responsibilities

• Lead risk management, compliance monitoring, and quality assurance activities across Distribution.
• Analyze complaints, incidents, customer insights, and QA outcomes to detect trends and opportunities for improvement.
• Interpret regulatory guidelines into effective controls, training programs, and advisory processes.
• Champion continuous enhancement of compliance using AI, automation, and emerging technologies.
• Provide compliance expertise for projects, product developments, and organizational change initiatives.

Candidate Profile

• Possess a Level 5 Certificate in Financial Services (Investment Strand) and a relevant tertiary qualification in business, law, or comparable field.
• Bring over three years’ experience in compliance, risk, or related roles within financial services.
• Demonstrate practical experience collaborating with financial advisers and members, understanding their challenges and needs.
• Exhibit expert knowledge of New Zealand financial advice regulations and the Financial Markets Authority Code of Conduct.
• Proven ability to design and implement initiatives that enhance adviser and member engagement and satisfaction.
• Exemplary communication, stakeholder management, and interpersonal skills.

Why Join Us

• Embrace a hybrid working model that supports work-life balance.
• Benefit from a competitive base salary coupled with biannual bonuses, enhanced KiwiSaver contributions, and access to corporate perks.
• Access wellbeing programs including health insurance, Employee Assistance Program, and discounted gym memberships.
• Receive comprehensive onboarding, study assistance, and continuous professional development support.
• Participate in an active Health & Wellbeing Committee hosting regular social, community, and mental health events.
• Work from a comfortable office located in central Auckland CBD.

Additional Information

Applicants must hold a valid visa permitting full-time employment in New Zealand.