Junior Auditor - Compliance & Risk Focus

Auckland

Full time

• Deliver assurance testing across controls, compliance and regulatory requirement
• Identify control gaps and recommend practical improvements to strengthen process
• Financial services experience withing a NZ environment is preferred.

Our client is a well-established organisation operating within the financial services sector, with a strong reputation for delivering positive outcomes for its customers and communities. They are seeking a detail-oriented and analytical Quality Assurance Analyst to provide independent assurance over business processes, identify opportunities for improvement, and strengthen the effectiveness of internal controls.

Reporting to the Manager Operations Support & Quality Assurance, you'll assess the effectiveness of internal controls, evaluate compliance with policies and regulatory obligations, and provide recommendations to enhance processes and minimise risk.

This is a varied role that combines quality assurance, compliance testing, analysis and stakeholder engagement to support a culture of continuous improvement.

Key responsibilities

• Conduct assurance reviews and testing in line with the Compliance Assurance Programme.
• Identify control gaps and opportunities to improve business processes.
• Assist with the delivery of the annual internal audit and assurance plan.
• Assess compliance with company policies, procedures and regulatory requirements.
• Monitor remediation activities and follow up on agreed actions.
• Support investigations into quality and compliance issues and assess corrective actions.
• Contribute to the enhancement of assurance frameworks, methodologies and reporting.
• Build effective relationships across the business to provide practical guidance and support.

What you'll bring

• Previous experience in quality assurance, internal audit, compliance or risk analysis within the financial services sector is essential.
• A sound understanding of New Zealand financial services legislation and regulatory frameworks, including the Financial Markets Conduct Act, AML/CFT Act, Companies Act, Financial Advisers Act and Financial Service Providers Act.
• Strong analytical and problem-solving skills with a keen eye for detail.
• Excellent written and verbal communication skills.
• The confidence to engage with stakeholders at all levels and constructively challenge where required.
• A naturally curious and inquisitive mindset, with the ability to identify themes, trends and underlying causes.
• A proactive attitude and genuine desire to contribute to continuous improvement and positive business outcomes.

What's on offer?

You'll have the opportunity to broaden your experience across quality assurance and compliance while working for a reputable organisation committed to doing things the right way. In return, you'll join a collaborative team where your insights will be valued and your professional development supported.

For further information, contact Chris Jeffery on 09 358 0888 or apply now by submitting your CV in Word format. Reference: CJ 1450977

Reference number: 1450977

Banking & Financial Services

Compliance & Risk

Company: DGA

Date posted: 22nd Jun, 2026