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Financial Risk Specialist

2 weeks ago

Melbourne, Victoria, Australia LGT – Private Banking und Asset Management Full time

About LGT Crestone

LGT Crestone is a leading private wealth sector firm, acquired by LGT in 2022. As part of the world's largest family-owned wealth management and asset management group, we provide unparalleled global perspectives and expertise in private markets, sustainable investing, and intergenerational wealth.

We are committed to supporting individuals in achieving financial success through our trusted relationships and local presence. Our firm's stability and decision-making processes enable us to deliver effective solutions for our clients.

Job Description

This role involves being a trusted advisor to the Front Office, partnering in identifying and assessing risk and compliance issues, and providing support in developing and implementing control and mitigation activities, including monitoring and reporting processes.

Main Responsibilities:

  1. Provide front-line support to Advisers, Associate Advisers, Associates, Heads of Advisory, Front Office Risk Manager, and Regional Managers for Advisory Performance to monitor and manage their business risks and compliance obligations, reviewing, advising, and challenging them regarding issues, strategy, and BAU with a risks and compliance lens, and overseeing the implementation of related controls to manage and mitigate risks/meet business obligations.
  2. Build effective and supportive relationships with key stakeholders to facilitate a strong culture of risk and compliance awareness, ownership, and management while influencing to maintain appropriate standards of business practice consistent with organisational, ethical, and regulatory requirements.
  3. Assist the Business to understand and implement the risk, compliance, and controls frameworks required by LGT Crestone, together with related policies, procedures, and tools, ensuring they are integrated efficiently and effectively into day-to-day business operations.
  4. Work with the Front Office Business Units to develop, maintain, and regularly review:
    1. Risk and compliance objectives and priorities.
    2. Accountabilities and responsibilities.
    3. Training, education, and awareness campaigns.
    4. Supervisory processes and required R&C oversight activity.
    5. Reporting requirements.
    6. Risk profiles, risk registers, risk controls, and risk indicators.
    7. Compliance plans, procedures, controls, and registers.
    8. Processes to identify, manage, and resolve incidents, breaches, and complaints.
  5. Liaise with the Legal team to continually monitor the wider regulatory environment for changes to obligations impacting the Front Office Business Units and ensure that any applicable changes or new regulatory obligations are appropriately implemented in a timely manner.
  6. Assist stakeholders on assurance activities within the Front Office Business Units and conduct second-line defence monitoring of risk and compliance management processes and controls, including conducting rolling Investment Adviser client file reviews and investigating incidents, breaches, and complaints in a timely manner as required.
  7. Provide direct support to the Heads of Advisory, Responsible Managers, Front Office Risk Manager, and Business Managers, proactively contributing to relevant business governance processes such as the Risk & Compliance Committee as required.
  8. Provide incidental Risk & Compliance support across the risk and compliance team and other business units as required.

Requirements

To be successful in this role, you will need:

  1. A minimum of 6 years' experience in risk, compliance, and/or assurance in wealth management, preferably with regulators, focusing on wealth management.
  2. Experience overseeing wealth management advice business functions, including monitoring and conducting file reviews (preferably with a Wholesale client focus).
  3. Experience working with client advisers, managing expectations, and communicating difficult messages.
  4. An understanding of the financial advice process and/or the different products and services that Wealth Managers offer to their clients.
  5. Knowledge and practical experience of risk and compliance management frameworks and processes.
  6. Knowledge and practical experience of local financial services laws and regulations.
  7. Familiarity with the Australian Privacy Principles and Privacy Act 1988 would be highly regarded.

We offer a commitment to ongoing employee development and a diverse work environment. We aim to attract and retain top talent regardless of gender, marital/parental status, ethnic origin, nationality, age, background, disability, sexual orientation, and gender identity.