Regional Front Office Risk Manager
Core
Oversee advice suitability, business conduct, and regional Front Office risks as the first line of defence for LGT Wealth Management's Australian clients.
Role type
Senior Front Office Risk Manager
Builds
A practical risk-based control environment for the regional wealth advisory business
Domain
Australian Private Wealth / Financial Services Compliance
Deliverable
dashboards & analysis
Required skills
Wealth management compliance, regulatory knowledge, control frameworks, advisory business oversight, risk assessment, training delivery, exception management
Preferred skills
Line 1 wealth advice experience
Technologies
N/A
Responsibilities
Provide oversight of adviser and client activities and advice suitability; Partner with management and operations to maintain governance; Perform control checks, risk assessments, and file reviews; Provide training and guidance to advisers; Review and approve business exceptions and pre-approvals; Maintain exception and incident reporting processes
Seniority
Senior, hands-on IC
