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Risk and Compliance Specialist
2 months ago
We are seeking a highly motivated and detail-oriented Risk and Compliance Analyst to join our team at Pitcher Partners. As a key member of our Risk and Compliance team, you will play a critical role in ensuring the firm's compliance with regulatory requirements and maintaining a strong risk management framework.
Key Responsibilities- Maintain and monitor the firm's compliance with its AFSL Obligations, including administration of regulatory, industry, and licensee portals and reporting.
- Assist with conducting internal reviews, including file, banking, and advisory reviews of investment advisory files, and assist with external independent audits.
- Develop and maintain training plans for representatives and monitor compliance against these plans.
- Assist with the interpretation of laws and non-technical accounting standards that affect the firm and participate in the development of policies, procedures, and training.
- Perform other general compliance and administrative functions, including preparing Board packs and taking minutes, identifying and interpreting legislative changes, and advising staff on the application of various financial services laws.
- Bachelor's degree in a relevant field (Law, Accounting, or Commerce).
- Commercially minded, with the ability to think strategically and work autonomously or collaboratively in a team.
- Motivated to learn and open to taking direction and advice.
- Experience in financial services compliance preferred but not essential for the right candidate.
Pitcher Partners is a leading network of independent Australian accounting, audit, and business advisory firms. We offer a dynamic and supportive work environment, with opportunities for professional development and growth. Our team is committed to delivering exceptional client service and making a positive impact in the community.
