Front Office Risk Adviser

4 weeks ago

Council of the City of Sydney, Australia LGT Group Full time

LGT is the largest Private Banking and Asset Management group in the world to be owned by an entrepreneurial family. As the family office of the Princely House of Liechtenstein, we have years of experience in the management of sizeable sums of assets.

The role is responsible for assisting the Front Office Risk Manager to identify, manage and monitor the risks in the Front Office. They are involved in the day to day management of risks and follow the relevant risk and compliance processes and perform Front Office controls.

Client Advice Process & Risk Support

- Assist with first line risk activities such as, maintenance of risk and control registers and incident management
- Build and manage exceptions processes and maintain the exceptions registers
- Basic monitoring/testing/performance of key controls, provision of 4 eye check, etc on a day to day basis
- Perform monitoring over the Front Office - report generation & monitoring e.g. risk profile changes, concentration risk reviews, annual client review completion, ad hoc advice reviews
- Assist with documentation and maintenance of Front Office Operational Processes
- Develop and deliver Associate and Adviser training as it relates to process/CAP (including induction for new Front Office Staff)
- Assist with Front Office remediation activities as necessary (risk reduction and process improvement)
- Managing Kaplan OnTrack platform; adding CPD points, creating learning activities, assessing content and allocating into relevant knowledge areas, end of year follow up and reporting to Risk & Compliance (temporary, to be allocated to HR)
- Liaise with stakeholders across the business on Front Office escalations and projects.

Your profile

About You

- Desirable - degree qualified in Finance or related disciplines desirable.
- RG146 accreditation or equivalent an advantage
- 5+ years compliance and control experience in wealth management, and/or with regulators
- Experience in overseeing the provision of advice (personal or general)
- Knowledge and practical experience of local laws and regulations
- Anti-Money Laundering/ Know Your Client experience an advantage

What’s in it For You?

- Competitive salary package
- Opportunity to participate in a discretionary bonus program
- Flexible working environment
- Support and various programs for our people (Employee Assistance Program, Health & Wellbeing, Employee Referral Program)

Do you feel addressed? Then simply fill out the online application. We look forward to getting to know you.

Transparency is important to us. That is why you will find everything that matters to us on our website – plus everything you should know about us before you meet us in person, open an account or apply for a job. That includes, for example, the history of the Princely Family, which is closely intertwined with our own.

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