Compliance Assurance Officer

Are you looking for an opportunity to be challenged with new learning whilst being part of a tight-knit, high-trust team? We’re creating a remote team in Manila to work alongside and support our New Zealand based operations staff. We have built an excellent team in Vietnam who support our software development and we’re excited to replicate this success in the Philippines for our operations.

Experience having worked in a financial services business previously is preferable, especially one based in New Zealand or Australia.

Please note that while this job may initially be performed from home, we will eventually have a physical office where you would be working with the rest of the Philippines team.

The core mission of the Quality Assurance Officer is to contribute towards maintaining and monitoring a robust quality assurance framework. This role ensures advisers (our customers) are evidencing the 6-step advice process when they deliver mortgage, insurance, and investment advice. You will be reviewing advice files delivered by our advisers to ensure correct processes have been followed and find opportunities for learning and improvement. An understanding of financial services compliance and risk management in New Zealand or Australia would be very useful in this role.

Responsibilities
– Complete financial advice file reviews, financial adviser ‘compliance health-checks’, and any other similar reviews that help ensure the compliance of our advisers.
– Correspond with our advisers to provide them with reports or to schedule and conduct meetings.
– Collecting and analysing data about our advisers to facilitate compliance-related work.
– Answering related queries that our advisers have through email and occasionally calls.

Measurable Outcomes
– Number of reviews completed per quarter meets the minimum quota and the quality of the reports meets management expectations.
– Clients receive meaningful feedback on the quality of their financial advice and health of their business from a compliance perspective.
– Our New Zealand based compliance team feels well supported by your contributions.

Minimum Qualifications
– Has worked with financial services legislation. Preferably in New Zealand, but an understanding of Australia’s regulatory framework would also be useful.
– Proficient with using computers, with experience using word processing and CRM tools being a strong benefit.
– Strong attention to detail.
– Ability to manage multiple tasks and priorities in a fast-paced environment.
– Excellent communication and interpersonal skills.
– Proactive and self-motivated, with a strong sense of ownership and accountability.