National Front Office Risk Manager

2 weeks ago

Sydney, Australia LGT Crestone Wealth Management Full time

Min Experience- 8 yearsYour team
- Supporting the front office business (“FO”)
- Extensive interaction with Investment Advisers Nationally
- Interaction with Adviser Assistants and Associate Advisers Nationally

Your Role

This role is responsible, from a 1st line perspective, for:

- Lifting standards across the front office to protect the organisation from regulatory, reputation
- and litigation risk
- Implementing risk actions to manage and mitigate these risks
- Escalation to senior management of risks and incidents where necessary

More specifically
- Enhancing the supervisory & control process re delivery of advice and products
- Maintaining the business exceptions registers including incident management
- Reviewing the business risk oversight of products
- Reviewing the Business procedures including the FO Supervisory Manual
- Coordinating business sign-offs in all facets
- Coordinating remediation (risk reduction and process improvement) of activities as necessary
- Coordinate risk and compliance related training & activities including 1:1
- refresher where required
- Coordinate and develop impact assessment and change management steps once regulatory
- changes have been identified by R+C, that warrant consideration by the business to remain
- compliant
- Will be required to provide the business with embedded day-to-day support and guidance on
- risk matters, including challenges to adherence to the standards expected
- Challenge R&C based on understanding of a prudent risk-based approach, business practices
- and a practical rather than theoretical mindset.
- Manage the risk approval process pertaining to policies generally (eg client instructions, PAD,
- overseas trips, etc)
- Manage the exceptions process and maintain the exceptions register
- Regular testing of key risk/compliance controls - eg completion of client risk profiles provision of
- FSGs, CPD training compliance
- Manage implementation of upcoming professional standard requirements (FAESA)
- Basic monitoring/testing of key controls, provision of 4 eye check, etc on a day to day basis
- Assisting in the preparation of information to support the annual IA/Client file reviews

Your skills & experience
- 8+ years compliance and control experience in wealth management, and/or with regulators
- Knowledge and practical experience of local laws and regulations
- Good knowledge of compliance framework
- Experience in overseeing advisory business functions

Your role competencies
- Resourceful, self-starter
- Resilient
- Pragmatic
- Flexible
- Excellent Excel / data skills with an ability to educate on both processes and outputs.
- Excellent written and verbal communication skills with an ability to influence / negotiate.
- Able to demonstrate strong relationship management skills and ability to work with individuals at different levels.
- High level of attention to detail and experience in a fast-paced working environment.
- High levels of accuracy and driven in providing high quality standards of work.
- Strong analytical and problem-solving skills.
- Able to multi-task / manage diverse activities

Your qualifications
- Bachelor’s degree in Law, Commerce, Management or Finance

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