Risk & Compliance Expert - Advisory (Melbourne)

6 days ago


Melbourne, Victoria, Australia LGT Crestone Full time
Job Summary

We are seeking a highly skilled Risk & Compliance Expert to join our Advisory team at LGT Crestone. As a trusted adviser, you will partner with our Front Office to identify and assess risk and compliance issues, 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, monitoring and managing their business risks and compliance obligations.
  • Build effective relationships with key stakeholders to facilitate a strong culture of risk and compliance awareness, ownership, and management.
  • Assist the Business in understanding and implementing risk, compliance, and controls frameworks, including related policies, procedures, and tools.
  • Develop, maintain, and regularly review risk and compliance objectives, priorities, accountabilities, and responsibilities.
  • Liaise with the Legal team to monitor regulatory changes and ensure timely implementation of new obligations.
  • Conduct second-line of defence monitoring of risk and compliance management processes and controls.
  • Provide direct support to senior management and contribute to business governance processes.
Requirements
  • 6+ years of risk, compliance, and/or assurance experience in wealth management, with a focus on wealth management.
  • Experience overseeing wealth management advice business functions, including monitoring and conducting file reviews.
  • Knowledge of risk and compliance management frameworks and processes.
  • Knowledge of local financial services laws and regulations.
  • Knowledge of the Australian Privacy Principles and Privacy Act 1988.
About LGT Crestone

LGT Crestone is a leader in the Australian private wealth sector, providing deep trusted relationships and global perspectives. We are committed to the ongoing development of our employees and strive to create a diverse and inclusive work environment.



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