Compliance Officer

**Company Description** Certainty Financial Advisers Network is a professional network supporting financial advisers with robust systems, governance, and operational frameworks. The organization focuses on helping advisers deliver compliant, high-quality financial advice to clients while meeting evolving regulatory standards. It provides guidance, tools, and oversight to ensure consistent, ethical practices and sustainable business growth. Team members work closely with advisers and stakeholders, contributing to a culture of accountability, transparency, and continuous improvement. **Role Description** This is a full-time Compliance Officer role based in Auckland, offered on a hybrid basis with some work-from-home flexibility. The Compliance Officer will oversee adherence to regulatory requirements and internal policies across the adviser network, reviewing advice files, client documentation, and processes for compliance and quality. Daily responsibilities include monitoring regulatory developments, updating compliance frameworks, conducting audits and risk assessments, and preparing reports and recommendations for leadership. The role will also involve supporting advisers with guidance on best practices, delivering compliance training, handling incident investigations, and collaborating with operations, legal, and finance teams to ensure effective controls and governance. **Qualifications** * Strong skills in Compliance Management and Regulatory Compliance, with experience interpreting and applying financial services regulations. * Demonstrated Analytical Skills for assessing risks, reviewing documentation, and making evidence-based recommendations. * Excellent Communication skills, including the ability to convey complex regulatory concepts clearly to diverse stakeholders. * Knowledge of Finance and financial advice processes, ideally within the New Zealand regulatory environment. * Relevant tertiary qualification in law, finance, business, or a related discipline is preferred. * Experience in a compliance, risk, or regulatory role within financial services is highly beneficial. * High attention to detail, sound judgment, and the ability to manage multiple priorities in a fast-paced environment. * Proficiency with Mictosoft 365 especially excel and MS Teams and compliance tools, and comfort working in a hybrid (office and remote) setting.