Risk + Compliance Analyst
vor 4 Wochen
When you join Pitcher Partners, you're joining a team with heart. We support each other. We learn together. We're deliberate about fostering relationships that nurture and empower every individual.
And we're excited by what's possible. We know some of the best new ideas come in the form of curious, talented people we haven't met yet. Perhaps you're one of them.
About the role This is a broad role which primarily assists in the day-to-day management of compliance, and to a lesser extent, risk and quality control across a large and diverse firm of over 750 employees. The successful candidate will be working in an experienced and growing Risk and Compliance team that supports the wider Pitcher Partners firm across all risk, compliance and quality management functions.
This role will have a strong focus on the compliance functions of the firm's large investment advisory and custodian practice – Pitcher Partners Investment Services.
This role is a 12-month fixed term contract, either on a full-time or part-time basis.
Key responsibilities In this role you will be responsible for:
Maintaining and monitoring the firm's compliance with its AFSL ObligationsAssisting with the administration of regulatory, industry and licensee portals and reporting, maintenance of internal registersAssist with conducting internal reviews including file, banking and advisory reviews of investment advisory filesAssist with external independent auditsAssist with developing and maintaining training plans for representatives and monitoring compliance against these plans.Assisting with the interpretation of laws and non-technical accounting standards that affect the firm and participating in the development of policies, procedures and training and the testing and monitoring of associated controls.Other general compliance and administrative functions such as:Assist in preparing Board packs and taking minutes (as and if required).Assist in the identification and interpretation of legislative changes and/or policy changes and interpreting the impacts on the business.Advising advisers and staff on the application of various financial services laws.Additional compliance tasks as directed by the Chief Risk and Compliance Officer.Assist in the annual maintenance of the firm's risk and compliance policies.Assist in the compilation of data for the PI insurance submission and presentation.Assist the Risk Management specialists within the team with any other tasks as deemed necessary.Assist with administration, monitoring and reporting functions of the Conflict Check System.Who we're after Here are the some of the key skills we're looking for. If you tick most of the boxes, but not all – that's ok We'd still love for you to apply.
Bachelor's degree in a relevant field (Law, Accounting or Commerce)Commercially minded, you think strategically and can work either autonomously or collaboratively in a team.You are motivated to learn and are open to taking direction and advice. You may have completed a traineeship within a law firm or are currently studying towards your CA qualification within an accounting firm.Experience in financial services compliance preferred but not essential for the right candidate.How to apply If you can see yourself as part of a team that's about developing meaningful relationships with your clients and your colleagues, and leading with the best ideas, we want to hear from you.
Our typical recruitment process for shortlisted applicants will include a phone screening and two interviews. Our recruitment team will walk you through this process and will provide you with all the required information.
Once advertising commences, we continually review applications, so encourage you to apply today if you can see yourself in this role.
Actively improving diversity in our workforce is central to our purpose, and we strongly encourage people from under-represented backgrounds and groups to apply.
We are open to discussing how any of our roles can be done on a part time basis and encourage you to let us know if you require any reasonable adjustments to the recruitment process. You can reach out to us at ******.
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