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Risk and Compliance Specialist
2 months ago
We are seeking a highly skilled Risk and Compliance Advisor to join our team at LGT Group. As a trusted adviser to our Front Office, you will play a critical role in identifying and assessing risk and compliance issues, and providing support to develop and implement appropriate control and mitigation activities.
Key Responsibilities- Provide 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.
- Review, advise, and challenge them in relation to issues, strategy, and BAU with a risk and compliance lens, and oversee and support the implementation of related controls to manage and mitigate risks/meet their business obligations.
- 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.
- Assist the Business to understand and implement the risk, compliance, and controls frameworks required by LGT Crestone, together with related policies, procedures, and tools, and to ensure they are integrated efficiently and effectively into day-to-day business operations.
- Work with the Front Office Business Units to develop, maintain, and regularly review: Risk and compliance objectives and priorities, Accountabilities and responsibilities, Training, education, and awareness campaigns, Supervisory processes and required R&C oversight activity, Reporting requirements, Risk profiles, risk registers, risk controls, and risk indicators, Compliance plans, procedures, controls, and registers, Processes to identify, manage, and resolve incidents, breaches, and complaints.
- 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.
- Assist stakeholders on assurance activities within the Front Office Business Units and conduct second-line of 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.
- Provide direct support to the Heads of Advisory, Responsible Managers, Front Office Risk Manager, and Business Managers, and proactively contribute to relevant business governance processes such as the Risk & Compliance Committee as required.
- Provide incidental Risk & Compliance support across the risk and compliance team and other business units as required.
- 6+ years risk, compliance, and/or assurance experience in wealth management and/or with regulators with a focus on wealth management.
- Experience overseeing wealth management advice business functions, including monitoring and conducting file reviews (preferably with a Wholesale client focus).
- Experience working with client advisers, including managing expectations and communicating difficult messages.
- Understanding of the financial advice process and/or the different products and services that Wealth Managers offer to their clients.
- Knowledge and practical experience of risk and compliance management frameworks and processes.
- Knowledge and practical experience of local financial services laws and regulations.
- Knowledge of the Australian Privacy Principles and Privacy Act 1988 would be highly regarded.
We look forward to getting to know you.
