Risk & Compliance Expert

6 days ago

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

About LGT – Private Banking und Asset Management

LGT – Private Banking und Asset Management is a leading provider of private banking and asset management services. Our team of experts works closely with clients to understand their unique needs and goals, providing tailored solutions to help them achieve their financial objectives.

Job Summary

We are seeking a highly skilled Risk & Compliance Advisor to join our team. As a Risk & Compliance Advisor, you will play a critical role in ensuring the effective management of risk and compliance across our business.

Key Responsibilities

  • Provide Risk and Compliance Support
    • Partner with the Front Office to identify and assess risk and compliance issues, providing support to develop and implement appropriate control and mitigation activities.
    • Monitor and report on risk and compliance management processes, ensuring compliance with regulatory requirements and organizational policies.
  • Build Relationships and Influence
    • Develop and maintain effective relationships with key stakeholders, including Advisers, Associate Advisers, and Associates, to facilitate a strong culture of risk and compliance awareness and ownership.
    • Influence business leaders to maintain appropriate standards of business practice, consistent with organizational, ethical, and regulatory requirements.
  • Assist with Risk and Compliance Frameworks
    • Support the development and implementation of risk and compliance frameworks, including policies, procedures, and tools.
    • Ensure that risk and compliance frameworks are integrated efficiently and effectively into day-to-day business operations.
  • Conduct Assurance Activities
    • Assist with assurance activities, including conducting rolling Investment Adviser client file reviews and investigating incidents, breaches, and complaints.
    • Conduct second-line of defense monitoring of risk and compliance management processes and controls.
  • Provide Support to Business Units
    • Provide direct support to the Heads of Advisory, Responsible Managers, Front Office Risk Manager, and Business Managers.
    • Contribute to relevant business governance processes, such as the Risk & Compliance Committee.
  • Minimum Requirements
    • 6+ years of 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.
    • 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.

About LGT Crestone

LGT Crestone is committed to the ongoing development of our employees. Your development will be managed and tailored to your role and future career path.

LGT Crestone is an equal opportunity employer committed to embracing a diverse and inclusive work environment. We aim to attract and retain the best people regardless of their gender, marital/parental status, ethnic origin, nationality, age, background, disability, sexual orientation, and gender identity.

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