The company and opportunity:

My client is a fast growing financial services company. They've experienced solid growth year on year, and are now looking for a Corporate Counsel to join this small, but mighty team as they continue to grow. The team is tight knit and there is a very competitive salary on offer for the right person. 

The successful person will have experience and knowledge in the risk and compliance sectors and must understand the processes and procedures required by a public company, trustee, reserve bank, and standard risk management policies and obligations. You will provide expert legal advice to the wider group.

This role will see you working Monday to Friday full time from their office in lower Auckland CBD.

The role is responsible for providing legal, governance, company secretarial, compliance, and risk management services to the company

Duties include:

  • Legal Advisory/Compliance 
  • Provide legal advice on corporate, commercial, and financial services matters, 
    including but not limited to loan documentation and loan agreements
  • Drafting, reviewing, and negotiating contracts and legal documentation, including but not limited to employment agreements and other contracts and agreements
  • Advising on related-party transactions, capital raisings, and corporate actions
  • Preparation of annual and interim reports, including governance disclosures
  • Supporting compliance with prudential and conduct regulation applicable to the company
  • Support implementation and ongoing operation of the COFI regime, including governance oversight of the Fair Conduct Programme
  • Reviewing customer-facing documents and conduct-related policies for legal and regulatory compliance
  • Assisting with regulatory engagement with the Reserve Bank of New Zealand, the Financial Markets Authority and Trustee
  • Company Secretarial and Governance 
  • Acting as Company Secretary as required
  • Managing Board and Committee governance processes, including meeting schedules, agendas, papers, minutes, resolutions, and action tracking
  • Maintaining statutory registers and ensuring required filings and notifications are made to the Companies Office, NZX, and regulators
  • Supporting directors in meeting their statutory and fiduciary obligations
  • Advising on and supporting compliance with continuous disclosure and market conduct obligations
  • Risk Management
  • Maintaining the companies risk management framework
  • Maintaining the risk register, including identification, assessment, mitigation, and 
    monitoring of risks
  • Facilitating risk assessments, stress testing, and scenario analysis as required
  • Supporting the Board and management in meeting prudential risk management obligations
  • Preparing risk reporting for the Board and Board Committees 
  • Other Responsibilities
  • Acting as the Health & Safety Officer
  • Anti Money Laundering
  • Management of Insurance policies
  • Maintenance of relevant policies, including reviewing and updating on a cyclical basis

About you:

  • You will hold a current NZ practicing certificate as a Lawyer in NZ
  • Financial services industry experience within law is preferred
  • You must have the right to work in New Zealand to apply for this role.

If you are ready for your next exciting opportunity, please apply today to find out more about this role. 

 

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