Crystal Burbery
Lower Hutt,New Zealand
Summary
Meticulous and knowledgable compliance expert with a proven track record of ensuring regulatory adherence and mitigating risks.
Experienced in developing and implementing new legislation and establishing frameworks to support seamless delivery of core business activities. Skilled in conducting assurance reviews, and providing training across the New Zealand regulatory environment. Strong understanding of banking systems, processes, and controls.
Proficient in implementing business policies and procedures in line with legislation.
Effective leader providing valuable training to enhance staff competency. Self-motivated and outcome-driven with high energy and initiative.
Overview
7
7
years of professional experience
Work History
Compliance Manager
NZ Financial Services Group
07.2024 - Current
- Provide guidance and oversight of over 700 Financial Advisers to ensure adherence to relevant Legislation
- Provide guidance and reporting to Executive Leadership team
- Analyse and report on business risks
- Engage with Regulators
- Investigate conduct and compliance issues
- Influence and lead risk and compliance culture across the organisation
Principal Adviser, Financial Advice
Financial Markets Authority
01.2024 - 07.2024
- Provide technical leadership and reporting to management
- Lead the Financial Advice Monitoring Programme Group
- Continuous improvement of monitoring framework
- Provide training and subject matter expertise on Financial Advice regime
- Team coaching and support
- Internal quality assurance
Senior Adviser, Financial Advice
Financial Markets Authority
08.2022 - 12.2023
- Lead the Financial Advice Monitoring Programme Group
- Lead and support monitoring reviews of market participants
- Provide training and subject matter expertise on monitoring framework
- Team coaching and support
- Plan and deliver market presentations and reports
- Assess misconduct cases received on market participants
- Data analysis to identify themes and trends across industry
Adviser, Financial Advice
Financial Markets Authority
01.2022 - 08.2022
- Engage with market participants to increase understanding of regulated entities, gain industry insights, and build and maintain relationships
- Provide subject matter expertise to Licensing team for escalations
- Undertake monitoring of market participants
- Assess misconduct cases received on market participants
- Conduct Qualitative Risk View assessments on market participants
Business Systems and Compliance Coordinator
DM Consult Mortgages and Insurance
05.2021 - 10.2021
- Obtain Financial Advice Provider licence
- Support team to ensure compliance with the relevant Financial Markets Conduct legislation
- Assurance of Financial Adviser files and providing feedback for compliance
- Write and maintain company handbook, policies, and procedures
Lending Operations Representative/Direct Lending Representative Roles
Kiwibank
06.2017 - 05.2021
Skills
- Regulatory Compliance Oversight
- Interpreting Legislation
- Conduct investigations
- Decision Making
- Reporting and Analysis
- Coaching and Education
Accomplishments
- FMA Exco award for proactive scoping of monitoring engagement
- Successfully implemented FAP monitoring framework to increase capability and support key strategic outcomes
- Financial Advice Team Certificate of Leadership award for development and implementation of Financial Advice Provider monitoring framework
- Obtained full Financial Advice Provider licence for DM Consult Mortgages + Insurance
Timeline
Compliance Manager
NZ Financial Services Group
07.2024 - Current
Principal Adviser, Financial Advice
Financial Markets Authority
01.2024 - 07.2024
Senior Adviser, Financial Advice
Financial Markets Authority
08.2022 - 12.2023
Adviser, Financial Advice
Financial Markets Authority
01.2022 - 08.2022
Business Systems and Compliance Coordinator
DM Consult Mortgages and Insurance
05.2021 - 10.2021
Lending Operations Representative/Direct Lending Representative Roles
Kiwibank
06.2017 - 05.2021
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