Risk and Compliance Advisor, Front Office (Sydney)

LGT Crestone 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’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 influencing outcomes while 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(s), and 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 client aware risk and compliance lens and will involve 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, oversight, 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 and the wider LGT Group, 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.

Your skills and experience

Your qualifications

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.