Job Description

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Compliance Officer

Advertiser: Tiger Brokers (NZ) LimitedMore jobs from this company

Job Information

Job Listing Date
11 Jun 2019
Location
Auckland, Auckland Central
Work Type
Full Time
Classification
Banking & Financial Services, Compliance & Risk

Compliance Officer

ABOUT US:

TIGER BROKERS (NZ) LIMITED is a Tiger Brokers company, a renowned Nasdaq listed financial technology (Fintech) venture headquartered in Beijing, China (NASDAQ: TIGR), with branches in several jurisdictions including New Zealand, Australia, Hong Kong, USA, and Singapore. We have a comprehensive Fintech background to offer a suite of multi-asset class capabilities which includes equities trading, access to primary market listings and hedge fund offerings. For further information about us, please visit www.itiger.com.

We thrive on excellence:

- Wall Street China awarded the company as the “Annual Outstanding Fintech Company” in 2017;

- KPMG rated the company as one of China’s Top 50 Leading Fintech firms for two years in a row in 2016/2017

- HKEX awarded the company as “Innovative Fintech Company of the Year” in 2017;

- CB Insights awarded the company as "2017 Fintech 250".

Tiger Brokers, a strategic partner with NASDAQ, is backed by prominent conglomerates including Xiaomi Corporation (HKEX: 1810) and Interactive Brokers Group (NASDAQ: IBKR)

We are a supportive, energetic team offering competitive remuneration and full-suite professional development. Take part in a growing business in the world of global capital markets and gain exposure to the world’s largest equities markets including NASDAQ, NYSE, HKEX and TSE. 

 

THIS OPPORTUNITY:

We are seeking an experienced Compliance Officer to monitor, implement and maintain all necessary procedures and controls to ensure an effective compliance framework that meets our legal and regulatory requirements in New Zealand, as well as to assess and assist business compliance with legislative requirements and regulations for offshore projects.

 

MAIN RESPONSIBILITIES:

This role is responsible for the implementation of the company’s compliance framework in relation to its obligations and domestic legislative requirements, ensure the business is in compliance with relevant rules and regulations, and is critical in providing ongoing support on matters of risk management and regulatory compliance risk appetite and control monitoring, and risk reporting including general advice on regulatory matters, both in New Zealand as well as for offshore projects.

You will:

  • Maintain a structured and systematic risk and compliance framework to ensure the business is in compliance with relevant rules and regulations in New Zealand;
  • Facilitate risk identification and risk assessments, work with the Compliance team to ensure that all relevant regulatory standards, guides etc. are identified and mapped accordingly;
  • Identify and evaluate risks faced by the business, and focusing on risks that adversely affect consumers or market integrity, this includes risks of non-compliance with the financial services laws;
  • Liaising with internal and external stakeholders to obtain information about customers, including but not limited to AML investigations, Customer Due Diligence and Enhanced Due Diligence, and ad-hoc duties;
  • Maintain compliance controls designed to manage or mitigate those risks, and fully implement and monitor those controls to ensure they are effective;
  • Review, develop, analyse and evaluate the Securities compliance and risk function, its management systems, policies and procedures in New Zealand, as well as for offshore-based projects in relation to primary market offerings.

 

YOU:

Ideally you will bring experience with, and comprehensive knowledge of risk and compliance ideally gained within the capital markets / brokerage sector in New Zealand. You will also have sound understanding of relevant Securities laws and regulations in USA and PRC.

  • Relevant Tertiary degree, with outstanding knowledge of securities rules and regulations in New Zealand, USA and PRC;
  • Proven experience in monitoring and implementing quality Compliance and/or Risk management framework policy content, with at least 2 -3 years’ experience in investment banking / brokerage firms.
  • Confident working on large scale local as well as offshore projects where work and time pressure can be intense;
  • Excellent self-management, interpersonal, presentation and communication skills as well as strong relationship management skills and the ability to interact with all stakeholders;
  • A high degree of accuracy and attention to detail, and an unquestioned ability to manage confidentiality;
  • Fluent in Chinese is a bonus but not a must;
  • Must be Eligible to work in New Zealand with a valid working Visa.

----------

For further information about us, please visit www.itiger.com.

 

>>> Please email your CV and Cover Letter in PDF formats to: lester.t@tigerfintech.com

ABOUT US:

TIGER BROKERS (NZ) LIMITED is a Tiger Brokers company, a renowned Nasdaq listed financial technology (Fintech) venture headquartered in Beijing, China (NASDAQ: TIGR), with branches in several jurisdictions including New Zealand, Australia, Hong Kong, USA, and Singapore. We have a comprehensive Fintech background to offer a suite of multi-asset class capabilities which includes equities trading, access to primary market listings and hedge fund offerings. For further information about us, please visit www.itiger.com.

We thrive on excellence:

- Wall Street China awarded the company as the “Annual Outstanding Fintech Company” in 2017;

- KPMG rated the company as one of China’s Top 50 Leading Fintech firms for two years in a row in 2016/2017

- HKEX awarded the company as “Innovative Fintech Company of the Year” in 2017;

- CB Insights awarded the company as "2017 Fintech 250".

Tiger Brokers, a strategic partner with NASDAQ, is backed by prominent conglomerates including Xiaomi Corporation (HKEX: 1810) and Interactive Brokers Group (NASDAQ: IBKR)

We are a supportive, energetic team offering competitive remuneration and full-suite professional development. Take part in a growing business in the world of global capital markets and gain exposure to the world’s largest equities markets including NASDAQ, NYSE, HKEX and TSE. 

 

THIS OPPORTUNITY:

We are seeking an experienced Compliance Officer to monitor, implement and maintain all necessary procedures and controls to ensure an effective compliance framework that meets our legal and regulatory requirements in New Zealand, as well as to assess and assist business compliance with legislative requirements and regulations for offshore projects.

 

MAIN RESPONSIBILITIES:

This role is responsible for the implementation of the company’s compliance framework in relation to its obligations and domestic legislative requirements, ensure the business is in compliance with relevant rules and regulations, and is critical in providing ongoing support on matters of risk management and regulatory compliance risk appetite and control monitoring, and risk reporting including general advice on regulatory matters, both in New Zealand as well as for offshore projects.

You will:

  • Maintain a structured and systematic risk and compliance framework to ensure the business is in compliance with relevant rules and regulations in New Zealand;
  • Facilitate risk identification and risk assessments, work with the Compliance team to ensure that all relevant regulatory standards, guides etc. are identified and mapped accordingly;
  • Identify and evaluate risks faced by the business, and focusing on risks that adversely affect consumers or market integrity, this includes risks of non-compliance with the financial services laws;
  • Liaising with internal and external stakeholders to obtain information about customers, including but not limited to AML investigations, Customer Due Diligence and Enhanced Due Diligence, and ad-hoc duties;
  • Maintain compliance controls designed to manage or mitigate those risks, and fully implement and monitor those controls to ensure they are effective;
  • Review, develop, analyse and evaluate the Securities compliance and risk function, its management systems, policies and procedures in New Zealand, as well as for offshore-based projects in relation to primary market offerings.

 

YOU:

Ideally you will bring experience with, and comprehensive knowledge of risk and compliance ideally gained within the capital markets / brokerage sector in New Zealand. You will also have sound understanding of relevant Securities laws and regulations in USA and PRC.

  • Relevant Tertiary degree, with outstanding knowledge of securities rules and regulations in New Zealand, USA and PRC;
  • Proven experience in monitoring and implementing quality Compliance and/or Risk management framework policy content, with at least 2 -3 years’ experience in investment banking / brokerage firms.
  • Confident working on large scale local as well as offshore projects where work and time pressure can be intense;
  • Excellent self-management, interpersonal, presentation and communication skills as well as strong relationship management skills and the ability to interact with all stakeholders;
  • A high degree of accuracy and attention to detail, and an unquestioned ability to manage confidentiality;
  • Fluent in Chinese is a bonus but not a must;
  • Must be Eligible to work in New Zealand with a valid working Visa.

----------

For further information about us, please visit www.itiger.com.

 

>>> Please email your CV and Cover Letter in PDF formats to: lester.t@tigerfintech.com

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