Head of New Zealand Compliance

Do you have experience leading compliance oversight, managing regulatory risk and advising senior stakeholders across New Zealand’s wholesale banking and capital markets?
Are you ready to use your regulatory expertise and independent judgement to shape a strong compliance culture across UBS New Zealand?
Do you have the confidence and expertise to influence senior leaders, navigate complex regulatory challenges and strengthen compliance across UBS New Zealand?

We are looking for a Head of New Zealand Compliance to:
- Lead the delivery of the Compliance mandate in New Zealand as the local senior Compliance representative, providing independent second-line oversight, advice and challenge across Global Markets, Global Banking and Research.
- Exercise independent judgement, challenge inadequately controlled activities and require appropriate assessment and governance before higher-risk activities proceed.
- Identify, assess, monitor and escalate compliance, conduct, regulatory and reputational risks, including material incidents, potential breaches and control weaknesses.
- Provide practical, risk-based advice on complex transactions, new initiatives, market conduct, conflicts of interest, information barriers and cross-border arrangements.
- Monitor New Zealand regulatory developments, engage with regulators and market operators, and oversee implementation of applicable requirements.
- Lead the local compliance programme, represent Compliance at governance forums and recommend control enhancements, remediation, suspension or escalation where risks are unacceptable.

Your team

You’ll be working in the Investment Bank aligned Compliance and Operational Risk Control (CORC) team in Auckland supporting Global Markets, Global Banking and Research throughout New Zealand.
You will work closely with the Australia & New Zealand Compliance team and other regional subject matter expects, including the Head of CORC IB and other key stakeholders , leveraging their expertise to support regulatory compliance with applicable laws, regulatory expectations and internal standards within the New Zealand Compliance framework.

Your expertise

- Proven financial services compliance or risk advisory experience for ideally 7+ years
- Significant Compliance, legal, regulatory or risk experience in financial services. Strong working knowledge of New Zealand financial-markets, market-conduct and AML/CFT requirements relevant to wholesale banking and capital-markets activities.
- Experience advising Global Markets, Global Banking or Research on complex transactions, conduct risk, conflicts and information barriers. Experience managing regulatory interactions, material incidents, investigations or remediation.
- Ability to interpret regulatory requirements and translate them into practical controls. Credible engagement with regulators and senior stakeholders, with the ability to lead through influence and coordinate specialist resources.
- Strong independent judgement, analytical capability, commercial awareness, communication and influencing skills, with integrity, accountability and resilience.
- Relevant tertiary qualification in Law, Commerce, Finance, Risk Management or a related discipline.
- Curious to explore how AI can improve how we build, deliver and optimize workflows. You do this with sound judgment - validating outputs and aligning with policies, risk standards and ethical use *#LI-Hybrid

About us

UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe.
We know that great work is never done alone. That’s why we place collaboration at the heart of everything we do. Because together, we’re more than ourselves. Want to find out more? Visit ubs.com/careers.

Join us

At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. And we use artificial intelligence (AI) to work smarter and more efficiently. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.
We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

Disclaimer / Policy statements

UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.