Compliance & Risk (Banking & Financial Services)About usAs New Zealand's Exchange, NZX is passionate about working with its customers and stakeholders to grow the markets NZX operates, which generate wealth integral to New Zealanders' prosperity, and New Zealand companies getting ahead.About usAs New Zealand's Exchange, NZX is passionate about working with its customers and stakeholders to grow the markets NZX operates, which generate wealth integral to New Zealanders' prosperity, and New Zealand companies getting ahead.NZ RegCo is NZX's regulatory agency and was established in 2020. NZ RegCo's purpose is to ensure that investors, issuers, and market participants have confidence in the integrity and regulatory oversight of NZX's markets. It performs an important role in the regulation of NZX's securities and derivatives markets which are at the heart of New Zealand's capital markets and vital to NZX's business.About your role and team:As a Senior Associate, Market Conduct you will sit within the Market Conduct team, which plays an important role contributing to the quality of the markets. The team is responsible for delivery of oversight, monitoring, investigation, and enforcement activity, as well as education project initiatives that support conduct outcomes.Among other duties, Market Conduct seeks to facilitate compliance by issuers and participants with their NZX market rules obligations, investigates suspected breaches and acts in accordance with NZ RegCo's enforcement policy, and advocates for market conduct outcomes through strategic initiatives and compliance projects.Some of your key responsibilities will be:Delivery of core activity for the identification, investigation, and enforcement of potential market rule breaches.Analysing evidence relevant to rule breaches, and assessing and recommending enforcement outcomes to the NZ RegCo CEO and NZ RegCo Board.Preparing and managing cases referred to NZ Markets Disciplinary Tribunal.High quality, timely communications with issuers and market participants to effectively gather evidence relevant to potential rule breaches.Delivery of NZ RegCo's issuer monitoring and risk assessment framework, including proactively monitoring media and market developments to identify matters relevant to conduct oversight.Analysing data to provide insights into compliance behaviour and trends in issuer conduct.To be successful in your role, you will have:Professional legal qualifications, including at least 5 years' post qualification experience.Knowledge of common capital markets structures, products, and terminology, in addition to interest in market infrastructure and regulation.Sound written and verbal communication skills with the ability to interact with senior internal and external stakeholders.Solid work-management skills as well as strong analytic and decision-making capability.A healthy level of both curiosity and professional scepticism.Here at NZX and NZ RegCo our people are our greatest asset. Join us and be a part of a culture that nurtures talent, embraces diversity and rewards outstanding performance.If this sounds like the right opportunity for you, then apply now with your covering letter and resume, as we'll be reviewing applications as soon as they're received.Should you have any questions or wish to view the position description please contact ****** this job advert Don't provide your bank or credit card details when applying for jobs.Researching careers? Find all the information and tips you need on career advice.#J-18808-Ljbffr
