Regional Front Office Risk Manager
Core
First line of defence overseeing advice suitability, business conduct, and regional Front Office risks for LGT Wealth Management's Australian clients.
Role type
Senior IC regional front office risk manager
Builds
A practical risk-based control environment for the regional front office
Domain
Australian private wealth management
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, experience overseeing advisory business functions, ability to perform control checks and risk assessments, training and knowledge sharing, exception and incident management
Preferred skills
Line 1 wealth advice experience
Responsibilities
Provide oversight of Front Office business conduct, adviser and client activities, and advice suitability; Partner with Front Office Management and other teams to maintain supervision and governance; Perform and coordinate regular control checks, risk assessments, and key control testing; 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