The Compliance Officer & Office Manager is a dual-role position that combines administrative, financial systems
management, and compliance responsibilities. The role is responsible for overseeing the daily administrative
operations of the lending company, ensuring that all office processes run efficiently. Additionally, this role
ensures compliance with Anti-Money Laundering (AML) regulations and Financial Markets Authority (FMA) audit
requirements.
Office Management:
·
Oversee day-to-day office operations to ensure smooth functionality, including managing office
supplies, equipment, and administrative support services.
·
Manage schedules for the CEO.
·
Ensure office policies and procedures are followed by all staff.
·
Assist with onboarding new employees, including ensuring they are set up with the necessary
equipment and materials.
·
Ensure the office environment meets health and safety standards.
Compliance Management:
·
Ensure compliance with the Financial Markets Conduct Act (FMCA) and Financial Markets Authority
(FMA) guidelines, as well as other lending regulations.
·
Monitor and review all company policies and procedures to ensure they comply with relevant laws and
regulations.
·
Act as the point of contact for any compliance-related issues and audits.
·
Provide regular training and updates to staff on compliance requirements.
·
Liaise with external regulators and auditors to address compliance-related matters.
·
Maintain and update records related to compliance activities, ensuring documentation is complete and
up to date.
·
Ensure that Silver Harbour Capital follows its AML/ CRT Compliance Policy and is responsible for
ensuring it is up to date.
Risk Management:
·
Identify and mitigate risks related to non-compliance with internal and external standards.
·
Conduct regular internal audits and risk assessments, ensuring compliance with lending practices and
company policies.
·
Escalate issues of non-compliance to senior management, along with recommendations for corrective
actions.
Client and Lending Services Support: · Assist in maintaining high levels of Investor and Borrower satisfaction by ensuring all compliance requirements are met in client interactions. · Work with lending teams to ensure client documentation and processes adhere to company compliance standards. · On boarding of new clients or increase in existing clients of Silver Harbour Mortgage Trust ensuring they are identified in accordance with the AML/CFT Policy · Ensure investors are correctly recorded in the Adminis registry. · Communicate with investors to resolve any queries or issues they may have. · Ensure the Loans to Borrowers are correctly recorded in FINPower and kept up to date.
Key Relationships
Internal Relationships
·
Collaborate with the Lending Manager, Credit Committee, and other department heads to ensure
compliance and operational efficiency.
External Relationships
·
Liaise with legal advisors, regulators, auditors, and compliance officers from partner firms.
Requirement:
Qualifications
· Bachelor’s degree in business, Finance, or related field.
· Certification in compliance or risk management (preferred).
Experience (minimum type and level of experience required to perform the role)
·
Experience in office management and compliance, preferably in the financial or lending industry.
·
Experience managing relationships with regulatory bodies.
·
Proven ability to manage office operations efficiently.
Would like to have a candidate with excellent English in both ora and writing.
If you interest in this role, please email your CV to [email protected]
*** We only response for those on short list.
| 欢迎光临 新西兰天维网社区 (http://bbs.skytrade.co.nz/) | Powered by Discuz! X2 |