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.
Chief Operating Officer
Brad leads the FMA’s corporate services team which includes the strategic and day-to-day functions of our finance, facilities, technology and project management functions.
Brad has had extensive experience, predominantly as a senior finance executive, both in New Zealand and internationally having worked in the United Kingdom, Asia and New Zealand. He was most recently the Group CFO for the NZX listed company Finzsoft Solutions and has also held CFO roles for Mondelez International and Merck Inc.
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.
Acting Director of Strategy, Risk & Assurance
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 People and Capability
Sarah leads the FMA’s people and capability function, including recruitment, employment relations, organisational culture and performance management.
Sarah has worked with a number of professional services firms. She was a member of the senior leadership team for a national advertising agency. Before joining the FMA in 2016, Sarah was HR Manager at one of New Zealand’s top law firms.
Acting Director of External Communications and Investor capability
Let us know what you think
Did you find this page useful?