| Full Time, Financial Services |
| Please Quote Reference Number 17114 |
| Lead compliance, conduct, and risk across a growing FAP |
| Position based in Highland Park, Auckland |
| Join the team at Kiwi Adviser Network |
Kiwi Adviser Network (KAN) is a financial advice provider (FAP) business based in Highland Park, Auckland. We help mortgage and insurance advisers in New Zealand run profitable and compliant businesses. Powered by Trail CRM, KAN gives financial advisers the freedom to let go of the administration burden to focus on what they do best - giving great financial advice.
We are seeking an experienced and proactive Conduct Manager take on direct ownership over the effectiveness, quality, and structural integrity of the Financial Advice Provider (FAP) compliance program, specifically focusing on the KAN FAP.
This will involve:- Lead and manage the compliance team, ensuring high standards across file reviews, complaints management, investigations, and regulatory reporting.
- Maintain and enhance the organisation's compliance framework, policies, and procedures to meet regulatory requirements and industry best practices.
- Monitor regulatory changes, conduct audits, assess risks, and implement effective compliance controls and remediation strategies.
- Investigate compliance breaches, adviser conduct matters, and escalated complaints, providing recommendations to strengthen processes and reduce risk.
- Deliver compliance training and guidance to advisers and staff on regulatory obligations, AML, privacy, and ethical business practices.
- Act as a key liaison with regulators, auditors, and external stakeholders, ensuring timely reporting and strong governance practices.
Benefits include:- Work with a supportive, innovative team that celebrates success and enjoys the journey.
- Enjoy ongoing training, genuine autonomy, and real opportunities for growth.
- Based in Highland Park: easy parking, minimal traffic, and regular team walks, often with our office pets.
- A workplace that values trust, balance, and authenticity.
If you think you have the skills and experience to join our team, APPLY now and fill in the online application form today.
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| Please Quote Reference Number 17114 |
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