22 July, 2020

Vice-President, Compliance

About Jarden
We are New Zealand’s leading investment and advisory group and have supported exceptional people and ideas for nearly 60 years. In June 2019 we rebranded from First New Zealand Capital (FNZC) to Jarden – a name which better reflects our origins and long-standing tenure in the New Zealand Financial Markets. Jarden advises some of New Zealand’s largest public and private companies and high net worth individuals and families. Our areas of expertise are wealth management, investment banking, institutional equities, research and fixed income, carbon and FX sales trading. We are passionate about seeing our clients succeed, and when they choose Jarden, they get a partner that always endeavours to go above and beyond.
The Role
The role of the Compliance Function at Jarden is to ensure we keep we keep our business, clients and our people safe. We do this through partnering with the business to build risk and compliance frameworks that are fit for purpose and commercial, whilst holding steadfast when it matters. The purpose of this role to oversee the compliance framework within our FICC business (Fixed Income, Currencies & Commodities) supporting the implementation of any changes, working collaboratively across the group to ensure consistency of controls, and partnering with the business unit to keep them safe.  This role will be the designated officer with NZX for derivatives.

Key responsibilities include:
  • Oversight of core compliance and regulatory functions within the FICC business, including liaison with the wider Jarden compliance team
  • Managing client onboarding
  • Oversight of transaction monitoring for AML/CFT purposes
  • Assisting with the implementation and ongoing management of compliance policies
  • Monitoring and managing regulatory and legislative changes
  • Build effective relationships with the FICC
  • Liaising with Jarden legal function on the delivery of legal advice to support the FICC business.
  • Assist with consultations, issues, and audits and inspections and monitoring visits by regulators such as AML audits, NZX and FMA.
About You
You have a degree in law or an equivalent tertiary qualification and experience in the Financial Services markets, including derivatives. You have strong verbal and written communication skills and can confidently interact with stakeholders and subject matter experts. You're a fast learner, picking new concepts up quickly and enjoy working closely together with your team to bring value to your stakeholders. You want to work in an environment of continuous improvement, ready to both learn from and uplift others. Ultimately, you are passionate about what you do and have a high interest in keeping up with best practice in your areas of expertise.

In addition, you have
  • senior experience in the financial service industry, particularly regarding derivatives, in a predominantly compliance capacity
  • Knowledge of law, regulation, and rules that govern the New Zealand financial services environment including Financial Advisers Act, Financial Markets Conduct Act, NZX Rules, Privacy Act, AML/CFT regulation and Financial Services Legislation Amendment Bill – legal qualification preferred
  • Good people leadership skills
In return we can offer you great company and team culture within our fast-growing firm, and exciting long-term career prospects.


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