Rob was appointed chief executive in November 2013 and joined the FMA in February 2014. Originally from the United Kingdom, Rob was previously a director with regulatory consultancy Promontory Financial Group. Before that he spent 17 years at Bank of America Merrill Lynch in Europe, Asia and North America.
Rob brings a truly global perspective to the leadership of the FMA and has experience in investment banking, legal and risk management.
Director of Capital Markets
Garth leads the capital markets function, providing an end-to-end contact point for capital markets participants and issuers. This incorporates primary and secondary markets, continuous disclosure, oversight of the market infrastructure such as NZX, NXT, intermediary platforms and clearing providers and also oversight of auditors.
Prior to joining the FMA, Garth had extensive dispute resolution experience at Simpson Grierson and Crown Law, representing the Crown to Privy Council level. He was then the head of issuer regulation and an Acting Head of Regulation at NZX.
Director of Market Engagement
John leads the FMA’s market engagement activities.
John is an experienced senior executive, director and consultant in the financial services industry. In previous roles he was co-founder of the Assure NZ Group, managing director at Guardian Trust and general manager wealth management at AXA.
Director of Regulation
Liam leads and oversees the licensing and supervision of all financial markets participants, from individual AFAs through to KiwiSaver providers. He is also responsible for the FMA’s compliance frameworks, contacts, and intelligence functions.
Liam has extensive experience in securities law and corporate governance matters, advising on securities and financial services law and policy, Crown entity governance and legal compliance.
In addition to advising the FMA executive and board, Nick leads the FMA’s enforcement and litigation, policy and governance, corporate legal and internal audit teams. He also works closely with the FMA’s frontline regulatory functions.
Nick joined the FMA having returned to New Zealand from the UK, where he was most recently the global head of conduct risk and contentious regulatory compliance at Barclays Investment Bank. Prior to joining Barclays, Nick was a partner in the London office of the law firm Berwin Leighton Paisner, having previously been a partner at another international law firm, Mayer Brown. At both firms Nick led the London based financial services regulatory teams, advising financial institutions on the requirements of the UK and European regulatory regimes, and the provision of financial products and services. Nick was also a member of the City of London Law Society Regulatory Committee.
Director of External Communications and Investor Capability
Paul leads the FMA’s external communications and investor capability team, which is responsible for media relations, investor resources and management of the FMA’s communications channels.
Paul has significant communications leadership experience within the financial services sector. Prior to joining the FMA Paul spent 6.5 years with the New Zealand Super Fund, first as head of communications then more recently manager of portfolio intelligence. He has also held senior public affairs and media managers roles at Macquarie Group, SKYCITY, and Westpac. Paul began his working life as a journalist, including three years with the New Zealand Herald.
Director of People and Capability
Sarah leads the FMA’s people and capability function, including recruitment, employment relations, organisational culture and performance management.
Sarah brings with her a wealth of experience in developing and implementing strategic and operational HR initiatives, particularly around talent management and employee engagement. Sarah has worked in a variety of HR-related roles in New Zealand and the UK, having originally qualified in NZ as a lawyer. Sarah’s last role was HR Director at Chapman Tripp.
Director of Strategy and Risk
Simone leads the development of the FMA’s regulatory strategy and the coordination of that strategy with co-regulators and government agencies. This role also includes leadership of the FMA’s strategic and operational risk management frameworks, the FMA’s Corporate Governance work programme and Government and Industry relations.
Simone is a senior lawyer with a strong commercial background in financial services and has held senior legal, risk and compliance roles in the financial services industry in New Zealand and Edinburgh.