Meet your team

The team is responsible for the day-to-day management, development and monitoring of the various risk, compliance and quality management functions within the firm and the provision of advice in respect to these functions. This includes administering, designing, implementing, supporting, training, monitoring and advising on risk management, compliance management, independence and quality management across all practice areas of the firm, as well as supporting Pitcher Partners Network Firms.

About the role

The role is best suited to someone with 1-3 years' experience in law, compliance, risk management and/or internal/external audit looking to build their skills in a non-client facing role. This role has a focus on the compliance functions for the broader firm. A recent graduate will also be considered.

This diverse role is an opportunity to be supported to develop your career within the risk and compliance space.

Key responsibilities

- Maintaining and monitoring AFSL Obligations - including assisting with reporting obligations to ATO, ASIC, AUSTRAC and IRS as needed.
- Assisting the Privacy Officer, Complaints Officer and Anti-Money Laundering/Counter-Terrorism Financing Officer in applying and maintaining associated policies and laws.
- Supporting the firm's AML/CTF Program, including risk assessments and onboarding of customer and ongoing monitoring and due diligence.
- Assist with maintaining the various registers such as AFSL breach register, data breach register, complaints register, Register of Perks and Gifts.
- Assist with maintenance of compliance and business templates to accommodate legislative changes, policy changes and risks including - Financial Services Guide, Target Market Determination, Representative Manual, Client Questionnaires, advice templates and engagement letters.
- Assist with varying the AFSL licenses as and when applicable
- Assist with developing and maintaining training plans for representatives in line with Financial Advisers and Planners Code of Ethics and RG146 requirements.



This also includes monitoring training completed against these plans.
- Assist with conducting internal reviews including undertaking file, banking and advisory reviews of investment advisory files, portfolios and processes and compliance with policies and procedures.
- Assist with external independent audits including GS007, APES 310 and AFSL audits, along with the EOFY audit of investment prices.
- Other general compliance and administrative functions such as assisting with the preparation of Investment Committee and Board packs and taking minutes (if and as required).
- Assist in the identification and interpretation of legislative changes and / or policy changes and interpreting the impacts on the business. This includes developing strategies, training, policy and business templates under the direction of a manager, in response to the changes and communicating the same to relevant stakeholders, including Brisbane.
- Additional compliance tasks as directed by the Chief Risk and Compliance Officer

Who we're after

Here are the key qualifications, skills and personal attributes we're looking for. If you tick most of the boxes, but not all, we'd still encourage you to apply. Other capabilities you have may make you the perfect fit for the role, and we can work on filling the gaps together.

Related tertiary qualifications

You have a commerce and/or law degree and/or have gained experience working in internal or external audit, accounting, compliance, risk management, legal services and/or financial services. We will also consider applications who are newer or returning to the workforce and have an aspiration to forge a career in risk and compliance.

Strategic thinker

Commercially minded, you think strategically and can work either autonomously or collaboratively in a team. You can interpret and apply legal and technical knowledge and can craft well written, accurate and practical communications or advice.

Effective time management

System savvy, you can prioritise tasks and effectively manage competing deadlines. You act with integrity and can influence and develop trusted working relationships with key stakeholders.

📌 Risk & Compliance Analyst (Melbourne)
🏢 Pitcher Partners
📍 Melbourne