- Professional
- Office in Sydney
LGT Wealth Management was formed around a clear and uncompromising vision – to bring global best practice in building institutional quality investment portfolios to Australian clients.
With a shared passion for building an uncompromised business – we created something new from the ground up. A chance to leave behind the things that weren’t working, while enhancing the things that were. Our authentic and personalised client-first commitment. Our entrepreneurial spirit. Our focus in best-in-class advice. And our intimate understanding of the Australian private wealth landscape.
In 2022 we became a part of the LGT Group, who shared our entrepreneurial spirit, long-term approach and private-ownership model. Today, with the global expertise, stability, and capability of LGT behind us, we can work without being reliant on markets or margins, with a singular focus on giving our clients the advice and deep expertise they need for generations to come.
The role is responsible for assisting the Front Office Risk Manager to identify, manage and monitor the risks in the Front Office. They are involved in the day to day management of risks and follow the relevant risk and compliance processes and perform Front Office controls.
Client Advice Process & Risk Support
- Assist with first line risk activities such as, maintenance of risk and control registers and incident management
- Build and manage exceptions processes and maintain the exceptions registers
- Basic monitoring/testing/performance of key controls, provision of 4 eye check, etc on a day to day basis
- Perform monitoring over the Front Office - report generation & monitoring e.g. risk profile changes, concentration risk reviews, annual client review completion, ad hoc advice reviews
- Assist with documentation and maintenance of Front Office Operational Processes
- Maintain Client Advice Process documentation (templates, checklists, training materials, SOPs, guides etc)
- Develop and deliver Associate and Adviser training as it relates to process/CAP (including induction for new Front Office Staff)
- Assist with Front Office remediation activities as necessary (risk reduction and process improvement)
- Managing Kaplan OnTrack platform; adding CPD points, creating learning activities, assessing content and allocating into relevant knowledge areas, end of year follow up and reporting to Risk & Compliance (temporary, to be allocated to HR)
- Liaise with stakeholders across the business on Front Office escalations and projects.
About You
- Desirable - degree qualified in Finance or related disciplines desirable.
- RG146 accreditation or equivalent an advantage
- 5+ years compliance and control experience in wealth management, and/or with regulators
- Experience in overseeing the provision of advice (personal or general)
- Knowledge and practical experience of local laws and regulations
- Anti-Money Laundering/ Know Your Client experience an advantage
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 Wealth Management is committed to the ongoing development of their employees. Your development will be managed and tailored to your role and future career path.
LGT Wealth Management 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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