Risk + Compliance Analyst

We’re a leading network of independent Australian accounting, audit and business advisory firms, working together to enable growth and ambition for our clients. And our people.

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.

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, and particularly those practice areas providing financial services to clients. 

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.
• Assist with maintaining the various registers such as AFSL breach register, data breach register, complaints register, Register of Benefits 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.
• Assisting the Privacy Officer, Complaints Officer and Anti-Money Laundering/Counter-Terrorism Financing Officer in applying and maintaining associated policies and laws.
• 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.
• Advising advisers and staff on the application of various financial services, privacy and AML/CTF laws.
• Additional compliance tasks as directed by the Chief Risk and Compliance Officer 

Who we’re after

Here are the some of the key qualifications, skills and personal attributes 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.

• 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.
• 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.
• 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. 

Our process

We review applications continuously, so apply as soon as possible if you are interested.

The recruitment process usually includes a phone screen and two interviews. Our team will guide you through the process and provide all necessary information.

Actively improving diversity in our workforce is central to our purpose, we strongly encourage applications from under-represented backgrounds and groups.

We are open to discussing part-time roles and encourage you to let us know if you need any adjustments to the recruitment process. Contact us at [email protected].

We are committed to responding to every applicant as a 2025 Circle Back Initiative Employer.

Note for recruitment agencies: While we appreciate the role recruitment agencies play in our recruitment strategy, unsolicited CV’s or profiles will not be considered. We will not be liable or responsible for any fees or costs associated with unsolicited CV’s or profiles that are shared.

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