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.