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
Regional Front Office Risk Manager (First Line of Defence)
Builds
A practical risk-based control environment for the regional Front Office
Domain
Australian Private Wealth / Financial Services Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Compliance and control experience, knowledge of local laws and regulations, compliance and control frameworks, overseeing advisory business functions, Line 1 wealth advice experience
Preferred skills
None stated
Technologies
None stated
Responsibilities
Provide oversight of Front Office business conduct, adviser and client activities, and advice suitability; Partner with Front Office Management and other regional risk managers to maintain supervision and governance; Perform and coordinate regular control checks, risk assessments, key control testing, and file review support; Provide day-to-day guidance, training, and knowledge sharing to advisers and associates; Review, challenge, and approve business exceptions and pre-approvals; Maintain and oversee regional exception, incident, and escalation processes
Seniority
Senior, hands-on IC