Risk & Compliance Advisor

1 week ago

Sydney, New South Wales, Australia LGT Crestone Wealth Management Limited Full time $90,000 - $120,000 per year

About the Opportunity

As a Risk & Compliance Advisor, you will support and advise the Front Office Advisory business and be their first line of defence to ensure all regulatory standards and compliance requirements are fulfilled. You will also work collaboratively with the business to embed a general understanding of our risk appetite, drive pragmatic discussions around managing risks per appetite and assist the business to implement systems, processes and procedures that support appropriate risk and compliance outcomes.

Key Responsibilities

The role's overall responsibility is to be a trusted adviser to the Front Office, partnering in the identification and assessment of risk and compliance issues, then providing support to develop and implement appropriate control and mitigation activities, including monitoring and reporting processes.

Responsibilities include:

  • Support Front Office teams in managing business risks and meeting compliance obligations, with a strong focus on client outcomes.
  • Provide oversight and guidance on objectives, priorities, and business strategies through a risk and compliance lens.
  • Develop and maintain risk profiles, registers, controls, and indicators to monitor and mitigate business risk effectively.
  • Implement and support compliance frameworks, including plans, policies, procedures, controls, and registers.
  • Deliver training, education, and awareness campaigns to promote risk and compliance understanding across teams.
  • Lead second line monitoring activities, including rolling Investment Adviser file reviews and investigations into breaches, complaints, and incidents.
  • Liaise with Legal and other stakeholders to stay ahead of regulatory changes, ensuring timely implementation of new obligations.
  • Contribute to business governance and assurance activities, such as Risk & Compliance Committees and internal reporting requirements.
  • Provide additional support across the wider Risk & Compliance team and business as needed.

About You

  • 5+ years risk, compliance and/or assurance experience in wealth management and/or with regulators with a focus on wealth management.
  • Understanding of the Wholesale and Retail regulatory environments within Australia.
  • 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.

What's in it For You?

  • Competitive salary package
  • Opportunity to participate in a discretionary bonus program
  • Flexible working environment
  • Support and various programs for our people (Employee Assistance Program, Health & Wellbeing, Employee Referral Program)

LGT Crestone is committed to the ongoing development of their 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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