Risk & Compliance Advisor - Advisory (Melbourne)
vor 1 Woche
Risk & Compliance Advisor Apply locations Melbourne time type Full time posted on Posted 7 Days Ago job requisition id JR5755 LGT Crestone has emerged as a leader in the Australian private wealth sector.
Acquired by LGT in 2022, we are now a part of the world's largest family-owned wealth management and asset management group.
As a privately owned firm decision processes are short and structures are stable.
Together LGT and LGT Crestone provide the deep trusted relationships of a local firm, with the scale strength and security of a multinational.
We provide unprecedented global perspectives, more investment opportunities and fresh expertise in private markets, sustainable investing and intergenerational wealth.
No matter your role, your drive, talent, ideas, and vision allow us to support people in achieving financial success.
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: Providing front line support to Advisers, Associate Advisers and Associates, Heads of Advisory, Front Office Risk Manager, Regional Managers for Advisory Performance to monitor and manage their business risks and their compliance obligations.
This will include reviewing, advising and challenging them in relation to issues, strategy, and BAU with a risks and compliance lens and both overseeing and supporting the implementation of related controls to manage and mitigate risks / meet their business obligations.
Building effective and supportive relationships with key stakeholders to facilitate a strong culture of risk and compliance awareness, ownership, and management, while influencing to maintain appropriate standards of business practice consistent with organisational, ethical and regulatory requirements.
Assisting the Business to understand and implement the risk, compliance and controls frameworks required by LGT Crestone, together with related policies, procedures and tools, and to ensure they are integrated efficiently and effectively into day-to-day business operations.
Working with the Front Office Business Units to develop, maintain and regularly review: Risk and compliance objectives and priorities, accountabilities and responsibilities, training, education and awareness campaigns, supervisory processes and required R&C oversight activity, reporting requirements, risk profiles, risk registers, risk controls and risk indicators, compliance plans, procedures, controls and registers, processes to identify, manage and resolve incidents, breaches and complaints.
Liaising with the Legal team to continually monitor the wider regulatory environment for changes to obligations impacting the Front Office Business Units and ensuring that any applicable changes or new regulatory obligations are appropriately implemented in a timely manner.
Assisting stakeholders on assurance activities within the Front Office Business Units and conducting second line of defence monitoring of risk and compliance management processes and controls, including conducting rolling Investment Adviser client file reviews and investigating incidents, breaches and complaints in a timely manner as required.
Providing direct support to the Heads of Advisory, Responsible Managers, Front Office Risk Manager, and Business Managers, and proactively contributing to relevant business governance processes such as the Risk & Compliance Committee as required.
Providing incidental Risk & Compliance support across the risk and compliance team and other business units as required.
Minimum Requirements: 6+ years risk, compliance and/or assurance experience in wealth management and/or with regulators with a focus on wealth management.
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.
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.
#J-18808-Ljbffr
-
Risk & Compliance Advisor - Advisory (Melbourne)
vor 2 Wochen
Melbourne, Österreich Lgt Crestone VollzeitRisk & Compliance AdvisorApply locations Melbourne time type Full time posted on Posted 7 Days Ago job requisition id JR5755LGT Crestone has emerged as a leader in the Australian private wealth sector. Acquired by LGT in 2022, we are now a part of the world's largest family-owned wealth management and asset management group. As a privately owned firm...
-
Risk & Compliance Advisor - Advisory (Melbourne)
vor 2 Wochen
Melbourne, Österreich Lgt Crestone VollzeitRisk & Compliance Advisor Apply locations Melbourne time type Full time posted on Posted 7 Days Ago job requisition id JR5755LGT Crestone has emerged as a leader in the Australian private wealth sector. Acquired by LGT in 2022, we are now a part of the world's largest family-owned wealth management and asset management group. As a privately owned firm...
-
Risk & Compliance Advisor
vor 3 Wochen
Melbourne, Österreich Lgt Group VollzeitLGT is the largest Private Banking and Asset Management group in the world to be owned by an entrepreneurial family.As the family office of the Princely House of Liechtenstein, we have years of experience in the management of sizeable sums of assets.The role's overall responsibility is to be a trusted adviser to the Front Office, partnering in the...
-
Risk & Compliance Advisor
vor 2 Wochen
Melbourne, Österreich Lgt Gruppe Holding Ag VollzeitCategory Risk Controlling Workload Full Time ( 80%) Posted on 5 September 2024 LGT is the largest Private Banking and Asset Management group in the world to be owned by an entrepreneurial family.As the family office of the Princely House of Liechtenstein, we have years of experience in the management of sizeable sums of assets. Your challenge The...
-
Risk & Compliance Advisor
vor 2 Wochen
Melbourne, Österreich Lgt Gruppe Holding Ag VollzeitCategory Risk Controlling Workload Full Time ( 80%) Posted on 5 September 2024 LGT is the largest Private Banking and Asset Management group in the world to be owned by an entrepreneurial family. As the family office of the Princely House of Liechtenstein, we have years of experience in the management of sizeable sums of assets.Your challengeThe role's...
-
Risk & Compliance Advisor
Vor 4 Tagen
Melbourne, Österreich Buscojobs AU C2 VollzeitLGT Crestone has emerged as a leader in the Australian private wealth sector.Acquired by LGT in 2022, we are now a part of the world's largest family-owned wealth management and asset management group.As a privately owned firm decision processes are short and structures are stable. Together LGT and LGT Crestone provide the deep trusted relationships of a...
-
Compliance Advisor
Vor 7 Tagen
Melbourne, Österreich Suncorp Group Limited VollzeitTake the next step. Be part of something bigger at Suncorp.Sydney/ Brisbane/ Melbourne based with hybrid work arrangementsJoin our high performing risk team12 month secondment opportunitySuncorp Group firmly believes in contributing to a more resilient Australia. This means striving to enhance the skills of our people, building stronger relationships with...
-
Risk And Compliance Data Advisor
vor 1 Woche
Melbourne, Österreich Suncorp VollzeitTake the next step.Be part of something bigger at Suncorp.Sydney, Brisbane or Melbourne based with hybrid work arrangementsJoin our high performing Risk & Advocacy teamPermanent full time opportunitySuncorp Group firmly believes in contributing to a more resilient Australia.This means striving to enhance the skills of our people, building stronger...
-
Compliance Advisor
Vor 4 Tagen
Melbourne, Österreich Suncorp Group VollzeitSydney/ Brisbane/ Melbourne based with hybrid work arrangements Join our high performing risk team 12 month secondment opportunity Suncorp Group firmly believe in contributing to a more resilient Australia.This means striving to enhance the skills of our people, building stronger relationships with customers, and leveraging the power of innovation and...
-
Compliance And Risk Advisor
Vor 4 Tagen
Melbourne, Österreich Catholic Education Sandhurst Ltd Careers VollzeitThe Opportunity Catholic Education Sandhurst Ltd (CES Ltd) is seeking a COMPLIANCE AND RISK ADVISOR to join our Strategy, Risk and Governance Team.This is an exciting ongoing opportunity reporting directly to the Compliance and Risk Manager.This position will be responsible for ensuring compliance with regulations, managing risk, and supporting safe learning...
-
Compliance Advisor
Vor 4 Tagen
Melbourne, Österreich Tideri Jobbörse VollzeitTake the next step.Be part of something bigger at Suncorp.Sydney/ Brisbane/ Melbourne based with hybrid work arrangements Join our high performing risk team 12 month secondment opportunity Suncorp Group firmly believes in contributing to a more resilient Australia.This means striving to enhance the skills of our people, building stronger relationships with...
-
Regulatory & Compliance Advisor
vor 2 Wochen
Melbourne, Österreich Agl Energy VollzeitRegulatory & Compliance Advisor Join the change.Together, we'll make history.As we keep the lights on for over four million customers and move towards a more sustainable way of life, it's an exciting time to be at AGL.We're re-imagining how homes and business live and work across the country and we want you to be a part of it.This moment will define our...
-
Regulatory & Compliance Advisor
vor 2 Wochen
Melbourne, Österreich Tideri Jobbörse VollzeitRegulatory & Compliance Advisor Join the change.Together, we'll make history.As we keep the lights on for over four million customers and move towards a more sustainable way of life, it's an exciting time to be at AGL.We're re-imagining how homes and business live and work across the country and we want you to be a part of it.This moment will define our...
-
Senior Aml/Ctf Compliance Advisor
vor 2 Wochen
Melbourne, Österreich People'S Choice Credit Union VollzeitCompliance & Risk (Banking & Financial Services) About the role – Permanent, full-time (remote) The AML/CTF Advisory and Integration Team is vital in maintaining our bank's compliance with anti-money laundering (AML) and counter-terrorism financing (CTF) regulations.As the Senior AML/CTF Compliance Advisor, you will provide expert guidance to various...
-
Senior Aml/Ctf Compliance Advisor
vor 3 Wochen
Melbourne, Österreich People'S Choice Credit Union VollzeitCompliance & Risk (Banking & Financial Services)About the role – Permanent, full-time (remote)The AML/CTF Advisory and Integration Team is vital in maintaining our bank's compliance with anti-money laundering (AML) and counter-terrorism financing (CTF) regulations.As the Senior AML/CTF Compliance Advisor , you will provide expert guidance to various...
-
Analyst, Investment Risk
vor 19 Stunden
Melbourne, Österreich Cbus Super Fund VollzeitThe Investment Risk and Compliance team is responsible for the effective implementation of Cbus' first line investment risk management and compliance frameworks. Collaborating with Investments, and Enterprise Risk, Compliance and Governance Management teams, the team identifies new and emerging risk and compliance obligations that will impact the Investments...
-
Analyst, Investment Risk
vor 19 Stunden
Melbourne, Österreich Efinancialcareers Ltd. VollzeitThe Investment Risk and Compliance team is responsible for the effective implementation of Cbus' first line investment risk management and compliance frameworks.Collaborating with Investments, and Enterprise Risk, Compliance and Governance Management teams, the team identifies new and emerging risk and compliance obligations that will impact the Investments...
-
Senior Safety Advisor Major Capital Delivery
Vor 4 Tagen
Melbourne, Österreich Melbourne Water VollzeitSenior Safety Advisor Major Capital DeliveryIn Melbourne, water is essential to our way of life.As caretakers for Melbourne's water cycle, we care for water, life and land throughout Melbourne: both its people and its biodiversity.If you value making it count, diving in with curiosity, and doing what's right, you're in the right place.About the RoleWe...
-
Hse Advisor
vor 3 Wochen
Melbourne, Österreich The Hut Group VollzeitWe're a fast-moving, global technology group that specialises in taking brands direct to consumers. We're home to a portfolio of leading brands and sites including Myprotein, ESPA, LOOKFANTASTIC, and Cult Beauty, all of which are powered by our fully integrated digital commerce ecosystem, THG Ingenuity.We handle everything in-house, including technology,...
-
Business Advisory Services Graduate
vor 1 Monat
Melbourne, Österreich PKF Melbourne VollzeitThis is a Business Advisory Services Graduate role with one of the leading companies in AU right now 🔥 -- PKF Melbourne -- with an amazing team. They are continuing to grow rapidly. This is the chance to join right as the 🚀 takes off.More About the Role at PKF Melbourne 🧐🧐Our Business Advisory Services team takes a holistic approach to providing...