Compliance Lead

at  Generate

We are a proudly New Zealand-owned, award-winning KiwiSaver and wealth manager. Our mission is to educate and empower our customers to make informed financial decisions and achieve strong long-term performance. With a relentless focus on these goals, we are dedicated to growing Kiwis’ wealth and helping them attain better financial outcomes in retirement.
At our core, we are a purpose-driven business, caring deeply about making a difference. Our passionate team plays a crucial role in bringing our mission to life. We foster a culture of idea-sharing and empowerment, encouraging our people to lead initiatives that positively impact our business, community, and members.

ABOUT THE ROLE

As our business continues to grow, we are excited to announce an exciting opportunity for an experienced Compliance Lead to join our high performing Distribution team. You will be the subject matter expert for Distribution, ensuring adherence to our Compliance Assurance Programme (CAP) and Quality Assurance Programme (QA).
You will also work closely with Distribution leaders to identify and manage key risks, conduct QA reviews, provide constructive feedback, and identify adviser and member initiatives that will enhance the client experience.

As our Compliance Lead, you will:

• Lead the Distribution compliance framework, developing processes, systems and tools to ensure compliance with rules and regulations in New Zealand.
• Conduct QA for Generate’s Nominated Representatives (GNRs), covering in-person, virtual, and phone interactions, with an estimated 10 QA sessions per week.
• Develop and present QA insights back to GNRs on a regular basis.
• Provide guidance to non-advice Distribution teams, empowering those teams to deliver best practice service to Generate clients.
• Establish reporting that monitors compliance, performance and highlights areas of focus Lead monthly meetings to agree actions for improvement and track the delivery of these initiatives.

Other attributes that may help you succeed in this role:

• Tertiary qualification in commerce, law or other relevant discipline
• L5 Certificate in Financial Services (Investment) desirable
• 3+ years in financial advice, quality assurance or compliance within financial services
• Confidence and strong stakeholder management skills to lead engagement with senior leaders and collaborate across the business
• Attention to detail and ability to adapt to changing regulatory environments and business needs
• Proactive mindset to identifying risks and developing effective mitigation strategie