Risk and Compliance Professional

1 day ago

Sydney, New South Wales, Australia beBeeCompliance Full time $140,000 - $185,000

Job Title: Risk and Compliance Professional

Job Description:

We are seeking a skilled Risk and Compliance Advisor to join our team. The successful candidate will partner with the Front Office to identify and assess risk and compliance issues, influencing outcomes while providing support to develop and implement appropriate control and mitigation activities.

The ideal candidate will have 5+ years of experience in risk, compliance, and/or assurance, focusing on wealth management. They will possess a deep understanding of Wholesale and Retail regulatory environments within Australia and have experience overseeing wealth management advice business functions.

Key Responsibilities:

  • Monitor and manage business risks and compliance obligations, reviewing and advising on strategy and BAU with a client-aware risk and compliance lens.
  • Build relationships with stakeholders to promote a strong culture of risk and compliance awareness, oversight, ownership, and management.
  • Assist the Business in understanding and implementing risk, compliance, and controls frameworks required by LGT Crestone and the wider LGT Group.
  • Develop, maintain, and review risk and compliance objectives, priorities, accountabilities, and responsibilities, as well as risk profiles, registers, indicators, and controls.
  • Liaise with the Legal team to monitor regulatory changes and ensure implementation of new obligations.
  • Conduct second-line defence monitoring of risk and compliance management processes and controls, including rolling Investment Adviser client file reviews and incident investigations.
Required Skills and Qualifications:
  • 5+ years of experience in risk, compliance, and/or assurance, focusing on wealth management.
  • Understanding of Wholesale and Retail regulatory environments within Australia.
  • Experience overseeing wealth management advice business functions, including monitoring and conducting file reviews.
  • Knowledge and practical experience of risk and compliance management frameworks and local financial services laws and regulations.
  • Bachelor's degree in Commerce, Management, Finance, or Law.

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