Head of Compliance

About the role

The Head of Compliance will lead NZ Financial Services Group’s compliance and risk function, overseeing the Financial Advice Provider (FAP) licence and related regulatory obligations. This hands‑on leadership position focuses on adviser monitoring and supervision across a distributed external adviser network.

Key responsibilities

• Lead day‑to‑day compliance with the FAP licence, FMCA, and the Code of Professional Conduct.
• Embed regulatory obligations into adviser processes and operational practices.
• Monitor regulatory change, assess impact, and report insights to the Executive and Board.
• Develop and continuously improve the Adviser Supervision Framework, including risk‑based file and thematic reviews.
• Analyse advice quality trends, identify emerging conduct risks, and implement practical improvements.
• Own breach, incident and complaints registers, conduct materiality assessments, and recommend regulator notifications.

Required profile

• Proven senior leadership experience in compliance or risk within financial services.
• Deep knowledge of the Financial Markets Conduct Act 2013, FAP licence conditions, and the Code of Professional Conduct.
• Strong judgement in complex adviser conduct matters and breach assessments.
• Ability to translate regulatory requirements into operational controls and coaching.

Required skills

What we offer

• Opportunity to shape compliance strategy for a leading New Zealand financial services group.
• Collaborative environment with senior executives and board members.
• Competitive remuneration package.