Risk + Compliance Analyst
Vor 6 Tagen
Risk + Compliance Analyst – Pitcher Partners Join us as a Risk + Compliance Analyst to help manage and monitor risk, compliance and quality functions across the firm. We’re a leading network of independent Australian accounting, audit and business advisory firms, working together to enable growth and ambition for our clients. About the Team The team leads day‑to‑day management, development and monitoring of risk, compliance and quality management functions, providing advice across all practice areas and supporting Pitcher Partners Network Firms. About the Role The role is best suited to someone with 1‑3 years of experience in law, compliance, risk management and/or internal/external audit, looking to build their skills in a non‑client facing environment. The focus is on compliance functions for the firm, especially in practice areas providing financial services to clients. Key Responsibilities Maintain and monitor AFSL obligations, reporting to ATO, ASIC, AUSTRAC and IRS. Maintain registers such as AFSL breach register, data breach register, complaints register, Register of Benefits and Gifts. Update compliance and business templates in line with legislative, policy and risk changes. Assist the Privacy, Complaints and AML/CTF officers in applying and maintaining associated policies and laws. Assist with varying AFSL licences as applicable. Develop and maintain training plans for representatives in line with Financial Advisers and Planners Code of Ethics and RG146, monitoring completion. Conduct internal reviews, including file, banking and advisory reviews of investment advisory files, portfolios and processes. Assist with external independent audits including GS007, APES 310, AFSL audits and EOFY audit of investment prices. Prepare Investment Committee and Board packs, take minutes when required. Identify and interpret legislative and policy changes, develop strategies, training and templates, and communicate to stakeholders. Advise advisers and staff on application of financial services, privacy and AML/CTF laws. Other compliance tasks as directed by the Chief Risk and Compliance Officer. Qualifications & Skills Commerce and/or law degree; experience in audit, accounting, compliance, risk management, legal services or financial services. Commercially minded, strategic thinker able to work autonomously or collaboratively; interprets and applies legal and technical knowledge; crafts accurate and practical communications. System savvy, prioritises tasks, manages competing deadlines, acts with integrity, influences and develops trusted relationships with stakeholders. Our Process We review applications continuously; a phone screen followed by two interviews is the usual recruitment path. We will guide you through each stage and provide all necessary information. Contact us at for part‑time roles or adjustments to the recruitment process. Actively improving diversity in our workforce is central to our purpose; we strongly encourage applications from under‑represented backgrounds and groups. We are committed to responding to every applicant as a 2025 Circle Back Initiative Employer. Other Details Seniority level: Entry levelEmployment type: Full‑timeJob function: LegalIndustries: Accounting #J-18808-Ljbffr
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Risk & Compliance Analyst
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City of Melbourne, Österreich Risk Management Institute of Australasia VollzeitEmployment Type: FP - Full-Time Permanent We’re looking for a proactive and detail-oriented Risk & Compliance Analyst to join our team and help drive a culture of integrity, accountability, and continuous improvement. This role will primarily focus on supporting the Line 2 Function with all risk and compliance related activities and ensuring maintenance of...
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City of Melbourne, Österreich Risk Management Institute of Australasia VollzeitA prominent compliance organization in Melbourne is seeking a Risk & Compliance Analyst. This role focuses on supporting the risk and compliance function, maintaining systems and processes, and ensuring adherence to regulatory standards. The ideal candidate has at least 2 years of experience in financial compliance and a background in relevant laws. Strong...
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