Compliance Oversight Manager
5 days ago
LGT Group, a leading Private Banking and Asset Management group, is seeking a Compliance Oversight Manager to join our team. We have years of experience in managing sizeable sums of assets as the family office of the Princely House of Liechtenstein.
The successful candidate will be responsible for providing oversight and guidance to our Front Office teams on risk and compliance matters, ensuring that our business practices meet the highest standards of integrity and ethics.
Key responsibilities will include:
- Providing front line support to Advisers, Associate Advisers, and Associates, Heads of Advisory, Front Office Risk Manager, and Regional Managers for Advisory Performance to monitor and manage their business risks and compliance obligations.
- Building effective relationships with key stakeholders to facilitate a culture of risk and compliance awareness, ownership, and management.
- Assisting the Business to understand and implement risk, compliance, and controls frameworks required by LGT Crestone, together with related policies, procedures, and tools.
- Working with the Front Office Business Units to develop, maintain, and regularly review risk and compliance objectives, accountabilities, training programs, supervisory processes, and reporting requirements.
The ideal candidate will have 6+ years of experience in risk, compliance, and/or assurance in wealth management and/or regulatory environments, with a focus on wealth management.
We are looking for someone who has a strong understanding of the financial advice process and knowledge of local financial services laws and regulations.
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