Jonathon Hart Email & Phone Number

Auckland, NZ

Auckland, New Zealand

• HiFX Limited offers money exchange and remittance services to retail and wholesale customers under the Xe MoneyTransfer brand. Part of the Euronet group, Xe operates in markets across the world with offices in the USA.
• Acting as the registered AML Compliance Officer with the DIA and serving as the key contact for HiFX Limited with NZ regulators, such as the Financial Markets Authority, Department of Internal Affairs, and Financial.
• Reviewing and revising AML documentation, including the AML Risk Assessment and AML Compliance Programme.
• Developing and updating local policies and training materials, including SOPs for use by the 1st line of defense.
• Organizing and coordinating with external auditors, and integrating their recommendations into existing frameworks and systems.
• Conducting audits and assurance activities over compliance frameworks to ensure they are effectively designed and implemented.

Auckland, New Zealand

Auckland, New Zealand

Sitting in the Advisory business of KPMG, the Risk Consulting team supports financial institutions and corporates on allaspects of financial, market and operational risks.During my time at KPMG I have been involved in several projects, the most recent of which being internal assurancetesting of audit controls, this project is ongoing. Prior to this; I was.

Auckland, New Zealand

CTRL is a derivatives issuer based in Auckland, New Zealand. Holding Derivatives Issuer licenses in both New Zealand under the Financial Markets Authority (FMA) and in Australia under the Australian Securities & Investments Commission (ASIC), CTRL is an online financial services provider offering access to various trading opportunities via Contracts for.

Christchurch, Canterbury, New Zealand

Responsibilities included:- Being the AML Compliance Officer for the Designated Business Group.- Periodically reviewing and updating AML documentation.- Being the Privacy Officer for the group.- Leading the growing Compliance Team and mentoring compliance staff.- Developing and implementing compliance monitoring processes.- Managing the development and.

Wellington & Wairarapa, New Zealand

• In January 2019, I was promoted to the senior role to allow more autonomy, growth, professional development and management of junior staff.The Senior Compliance and Risk Advisor role carries the same responsibilities.
• Mentoring and guiding the Compliance and Risk Advisors, acting as the first point of contact for queries and assistance.
• Acting as a first escalation point for ‘division of three’ items.
• Conduct initial reviews of accreditation applications prior to review by management.
• Taking ownership of team procedures and processes, including maintenance and managing team contributions to updates.
• Drafting and ongoing monitoring of the annual inspection schedule.

Wellington & Wairarapa, New Zealand

• The Participant Compliance team sits within NZX Regulation and contributes to the overall quality of the markets offered by NZX by ensuring compliance with the NZX rules. Based in Wellington, the team has an important.
• Assessing regulatory applications and making binding decisions.
• Conducting investigations into conduct of market participants and determining compliance with NZX rules.
• Reviewing market participant’s capital adequacy and periodic returns.
• Building and maintaining relationships with market participants.
• Assisting with drafting rule amendments.

Manchester, United Kingdom

• The EMEA Portfolio Reconciliations and Valuations team offers broad reporting and reconciliation functionality across the RBS PLC, RBS NV and NatWest brands. The team works primarily in the European, Middle Eastern and.
• Manage client queries and requests via telephone and email.
• Production and delivery of valuation & audit statements as an after sales service and as a regulatory requirement.
• Risk analysis - review and resolution of daily valuation & audit areas
• Financial modelling of client valuations, whilst assessing their fx and other market variable positions
• Updating database to ensure compliance with the European market regulations and investigation of non-compliant entities.

Wellington, New Zealand

• The Reserve Bank of New Zealand operates a Real-Time Settlement System called NZClear. NZClear currently has over 130 members - comprised of international banks, foreign central banks and custodians – and holds around.
• Weekly, monthly, quarterly andannual reporting
• Monitoring the ESAS and NZClear settlement systems
• Setting up new securities within the NZClear system
• Processing manual security transfers
• Loading and matching trades on behalf of members

Wellington, New Zealand

Credit Consultants Group is a privately owned Debt Collection and Credit Management agency, operating in New Zealand and Australia. Clients include regional councils, telecommunications and utility providers and international banks as well as small businesses.The role involved:- Contacting debtors with complicated or high value debts, assigning debts to.