Job Type






Adviser/Senior Adviser, Investor Information Auckland

Financial Markets Authority

Financial Markets Authority Auckland New Zealand

2 months ago

Ko wai mātou - Who we are

As New Zealand's conduct regulator for the finance sector, the Financial Markets Authority (FMA) promotes and facilitates the development of fair, efficient, and transparent financial markets. Our purpose is to foster the fairest financial sector in the world.

With us, you'll be making a difference by enabling New Zealanders to have confidence that our financial sector provides a strong foundation for their financial future - helping them to save and invest, manage their risks, borrow, make payments, and support their families.

He angitūtanga - The opportunity

We are looking for an Adviser or Senior Adviser to join our busy Investor Information team. This team aims to improve investor information (including product disclosure statements and disclosures on websites and social media advertising) through formal and informal market engagement.

You would be in a collaborative environment and your work would be shaped by market activity. Your day-to-day... responsibilities would likely include:
• Proactive identification of, and reactive response to, potential harm arising from deficient or false and misleading investor information (such as greenwashing).
• Risk assessment and review of primary and ongoing disclosures for offers of managed funds (including KiwiSaver), debt (including listed bonds and non-bank deposit takers), equity (including IPO's and unlisted securities) and derivatives, with direct engagement with market participants (and their advisers) when necessary.
• Providing subject matter expertise to other FMA teams, including for exemption applications and for cases elevated for investigation and enforcement.
• Ownership of complaints and queries from outside of the FMA which are relevant to investor information requirements.
• Drafting of guidance to ensure that market participants have clear and well-understood responsibilities, to communicate good practice, and so that investors have access to the information they need to make informed decisions.

You may have seen some of our work reported in the media, such as:
• FMA directs Du Val to remove misleading advertising;
• FMA directs Simplicity to remove misleading advertising and improve compliance processes;
• FMA publishes guidance on advertising of financial products.

He kōrero mōu - About you

To be successful in this role, you'll have at least three years of relevant experience in a financial services or legal role. It would be an advantage if you have an in-depth knowledge and understanding of:
• financial products (across managed funds, equity, debt, derivatives) and financial markets participants; and
• legislation relevant to the New Zealand financial sector (especially the Financial Markets Conduct Act and regulations).

To be considered for the senior advisor position we would be looking for a high level of experience, you would have strong technical knowledge and proven analytical, critical thinking and reasoning skills.

Ngā āhuatanga kei a mātou - What we offer

You'll have the benefit of joining an organisation that is hard working, fast paced and committed, while also enjoying the social and flexible environment that we've created for individuals and teams to thrive. Our focus on learning and development, quality coaching and career opportunities will see your potential being realised and efforts truly valued.

What's next?

To discover more and apply, click 'Apply now!' or for further information or confidential enquiries please contact Jessi Kadow 09 967 1237.

Applications close Sunday 26 March 2023.

Reference #

Posted on
10 Mar 2023

Closes on
26 Mar 2023 23:55

Auckland, Wellington

Advisory, Capital markets, Investment management, Kiwisaver

Job level(s)

Work type(s)
Permanent full-time
Auckland New Zealand

Salary Criteria












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