Compliance Specialist, Client Information Compliance
12/03/2026
30/04/2026
Permanent - Full Time
Wellington
Risk & Compliance
About JBWere | Mo JBWere
JBWere is one of New Zealand’s most respected wealth advisory businesses, known for deep client relationships, trusted advice, and long‑term investment thinking. Our advisers work closely with individuals, families, and organisations to help them navigate complexity and achieve meaningful financial outcomes. JBWere is proudly part of the FirstCape Group, one of New Zealand’s largest and best‑resourced wealth advisory and asset management businesses. Being part of FirstCape means JBWere combines its strong advisory heritage with the scale, investment capability, and modern technology platforms of a broader group, giving our people and our clients the best of both worlds. At JBWere, we believe our people are our greatest asset. Our success is driven by the collective expertise, professionalism, and commitment of our teams, supported by the strength of the FirstCape Group. We are committed to creating an environment where people can grow, collaborate, and do work they’re proud of, while helping shape the future of wealth advice in New Zealand.
Job Description
About the opportunity | Mo te whai waahi
The Compliance Specialist – Client Information Compliance is responsible for reviewing, validating, and maintaining client personal and investment data in line with regulatory requirements and internal policies. Working closely with Advisers and internal stakeholders, this role ensures client onboarding and ongoing maintenance processes are accurate, timely, and fully compliant with customer due diligence and AML obligations. The role plays a key part in protecting both clients and the business by identifying risks, resolving issues, and escalating complex or unclear matters appropriately. Success is measured through strong attention to detail, consistent regulatory compliance, and a commitment to continuous process improvement and client experience.
Key Responsibilities | Ngā Kawenga Mahi
Review and approve client onboarding, account amendment, and transaction forms to ensure accuracy, completeness, and regulatory compliance.
Create and maintain client records within core systems to support products and services offered to clients.
Review and approve ongoing customer due diligence documentation to ensure AML information remains current.
Assess source of wealth documentation to confirm it meets regulatory, internal policy, and industry standards.
Verify identity documents using CloudCheck and complete required due diligence checks.
Review client investment portfolios to identify onboarding or custody complexities and escalate where required.
Escalate unclear, incomplete, or potentially non‑compliant applications to the relevant Senior Manager.
Monitor workflow progress, updating systems to support reporting on turnaround times, quality, and error trends.
Identify, log, and monitor operational or compliance risk events in the risk management system.
Contribute to process improvements, documentation updates, and training to enhance efficiency and client experience.
Desired Skills and Experience
What you will bring to the role | He aha ka kawea e koe ki te mahi
We require that you have:
At least two years’ experience in compliance, AML/CFT, client onboarding, or a similar role in a regulated environment.
Demonstrated understanding of New Zealand customer due diligence and AML/CFT regulations.
Strong attention to detail, with the ability to assess complex documentation accurately and consistently.
Excellent written and verbal communication skills, able to explain regulatory requirements clearly and confidently.
Strong organisational and prioritisation skills, managing multiple tasks and deadlines effectively.
Proactive, solution‑focused mindset with the ability to identify trends and prevent repeat issues.
Strong relationship‑building skills, with a collaborative and client‑focused approach.
Proficiency in Microsoft Office applications, particularly Outlook, Word, and Excel.
Why work at FirstCape? | He aha mahi i te FirstCape?
We offer a competitive compensation package commensurate with experience. Additional benefits include wellbeing support, volunteer days and a great company culture. We pride ourselves on offering our employees outstanding development and learning opportunities to support career growth, and the opportunity to work alongside the best talent in the market.
We are an inclusive employer and want our workforce to reflect a rich and diverse way of thinking and working. We know people are more than a single identity and the qualities that make each one of us unique need to be valued and embraced. So regardless of your gender, age, background or how you choose to identify, there's room for you to realise your potential here. And importantly, there's room to be yourself.
We’re also committed to providing equal opportunities to all candidates. Let us know if you have any accessibility requirements so we can work with you to make adjustments where possible to support your application. Alternatively, if you don’t meet all the requirements of the role but think you would be a great candidate, please apply explaining why you want the role, how you think your skills or background are transferable, and how you plan to upskill where needed (we will support you with this, but want to know you have thought about this too).
To be eligible to apply, you must have the right to work in New Zealand. Please note candidate screening and interviews may be conducted prior to the closing date of the job advert.
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