Team Spotlight: Compliance Manager Caroline Usher

Caroline Usher Team Spotlight profile photo

During Sorted Money Month, we showcase our talented team and our different job roles at Cambridge Partners. Can you ‘Push Pause’ to see if a career in investing could be something for you? We would love to see more wāhine enter the financial services sector.

At Cambridge Partners, our amazing wāhine thrive in the progressive learning environment, and all roles have pathways to advance your career. This week we’re spotlighting our Compliance Manager, Caroline Usher.

The role of a Compliance Manager is to ensure we are following all the rules and regulations that come our way. It is a crucial position in our business.

A day in the life of a Compliance Manager

Caroline is like a walking encyclopaedia of rules and regulations. She needs to know all the ins and outs of specific industry rules that apply to us, so we stay in the loop of any changes.

She is a policy guru, crafting updates to internal rules, procedures, and codes that guide us in doing things correctly. When it comes to risk assessment you will find her with a detective hat on sniffing potential compliance risks and nipping them in the bud. She regularly has her magnifying glass out, monitoring and auditing our operations to ensure we’re toeing the line. Whether it’s reporting to the Board or detecting potential breaches or ethical concerns, she is on the case talking to the folks involved and figuring out solutions.

Caroline’s not just about rules; she’s also a teacher! She ensures the team is well-schooled on everything compliance, working closely with different groups to ensure compliance is baked into all that we do.

Health and Safety is equally important

As the Health and Safety Officer, Caroline also ensures everyone is safe and sound in the workplace. Like compliance, she ensures rules and guidelines for staying safe on the job are followed. From checking out potential hazards to making sure everyone has access to the right equipment for their physical and mental health. If there’s an accident or something goes wrong, Caroline investigates what happened and figures out how to prevent it from happening again.

What do you need to be a successful Compliance Manager?

It is important to have industry knowledge and the ability to break down complex rules, spot potential issues, and develop solutions.

Being a strong communicator is important in delivering key compliance messages. Caroline’s moral compass points towards ‘ethics and integrity’ and she also holds the NZ Certificate in Financial Services Level 5 and various UK Investment Administration and Financial Planning qualifications.

Caroline Usher, the Compliance Queen who keeps us all on the straight and narrow. Cheers to her for making sure we do things the right way!

23 August 2023

Share This Post

This website requires cookies

For more information, please click the ‘Read More’ button. To accept cookies from this site, please click the ‘Agree’ button.