Senior Adviser, Market Conduct

at  Financial Markets Authority

WHO WE ARE - KO WAI MĀTOU

At the Financial Markets Authority (FMA) the work we do counts - it is challenging, unique and continuously evolving. We ensure better outcomes for investors, consumers and the New Zealand economy through our unwavering commitment to promoting and facilitating fair, efficient and transparent financial markets.
Our Market Conduct team monitors capital markets activity, responds to potential non-compliance and, where necessary, takes regulatory action in response to market misconduct.

We’re looking for an Adviser or Senior Adviser to join our team, to be located in our Auckland or Wellington office.

Our work is unique and interesting, and we operate in a collaborative and rewarding environment. For example, our team works on:

• trading misconduct cases, including potential market manipulation, insider trading and continuous disclosure issues on licenced markets.
• fair dealing issues relating to the offer and advertising of financial products.
• regulatory projects and thematic research; and
• drafting guidance to ensure that market participants have a clear understanding of their responsibilities.

You may have seen some of our high-profile cases reported in the media, such as:

• FMA files court proceedings alleging insider trading relating to the sale of Pushpay shares
• FMA directs Du Val to remove misleading advertising
• FMA’s civil proceedings against a portfolio manager for alleged market manipulation;
• FMA’s civil proceedings against CBL Corporation for multiple breaches;
• FMA receives an enforceable undertaking in relation to false and misleading statements; and
• FMA issues stop order against The One Management GP Limited.