Head of Market Conduct

New Zealand’s Stock Exchange (NZX) is driven by a commitment to connect people, business and capital every day. NZX takes pride in helping to support and drive a healthy economy, and deliver sustainable wealth, value and opportunities to all. Every day its people and passion is focused on their role delivering information, insights and the tools needed to connect investors with the right investment opportunities.

NZ RegCo is NZX’s regulatory agency, and plays an important role in ensuring that NZX’s markets operate in a fair, orderly, and transparent manner. Its purpose is to ensure investors, issuers, and market participants have confidence in the integrity and regulatory oversight of NZX’s markets.

About this role

Reporting to the Chief Executive, Joost van Amelsfort, this is a unique opportunity to take on the pivotal role of Head of Market Conduct. You will have overall management and leadership responsibility for market conduct and oversight activity (both reactive and proactive), team mentoring and management, driving advocacy, and developing and managing implementation of initiatives and projects that support its core activity. You will:

• Oversee the delivery of proactive and robust market oversight and monitoring functions relating to listed issuers.
• Lead delivery of core activity for the identification, investigation, and enforcement of potential breaches of NZX’s market rules. This includes providing recommendations to the CEO and NZ RegCo Board.
• Collaborate with internal and external stakeholders, and drive market advocacy and education initiatives for matters relating to compliance and best practice conduct expectations.
• Prepare and manage cases referred to NZ Markets Disciplinary Tribunal .
• Produce accurate internal and external reports on market conduct activities for board review, regulatory oversight bodies, media enquiries, and annual reporting.
• Contribute to NZ RegCo’s strategy and initiatives, and support NZX initiatives.

About you

• 10+ years’ relevant experience in compliance and/or regulation in the financial services industry and/or financial markets.
• Ideally you will hold a tertiary qualification in law and be eligible to hold a practising certificate.
• You will either have management experience or bring informal management / mentoring skills and be able to demonstrate your capability to step into a management role.
• Knowledge of common capital markets structures, products and terminology.
• Excellent written and verbal communication skills with the ability to interact with senior internal and external stakeholders.
• Robust personality and an ability to influence at senior levels.
• A healthy level of both curiosity and professional scepticism and sound regulatory judgment.

This is a full-time, permanent position based in Wellington (40 hours per week). NZ RegCo offers an outstanding range of benefits to support employees’ professional growth, wellbeing, work-life balance, and financial future. Contact us to find out more!

Apply Now

If you would like to join an inclusive workplace that celebrates diversity, encourages open communication, and supports your professional growth through ongoing learning opportunities, Apply Now!

Robert Walters is exclusively managing the recruitment of this position. Apply now. Or, for a confidential discussion contact Apryl Burgess +64 27 816 9899 | apryl.burgess@robertwalters.co.nz. Please note, applications close on 9 July at 9am NZT, but we encourage you to apply as soon as possible if you are interested.

Robert Walters endeavours to review all applications in a maximum of five working days. If you have not received correspondence in this timeframe please do not hesitate to contact Apryl Burgess on +6444719721.