Your role
Reporting to the Front Office Chief of Staff, you will support Front Office Management and partner closely with the Regional Manager, Investment Advisers, Associate Advisers, Associates and the Front Office Control & Monitoring team. As the first line of defence, you will oversee advice suitability, business conduct and regional Front Office risks, providing practical guidance, supervision and monitoring while operating independently of Risk and Compliance.
Your responsibilities
- Provide effective oversight of Front Office business conduct, adviser and client activities, and advice suitability in the region in accordance with regulations, LGT directives, policies and guidelines.
- Partner with Front Office Management, Operations, Line 2 and other regional risk managers to maintain strong supervision, governance and a practical risk-based control environment.
- Perform and coordinate regular control checks, risk assessments, key control testing, file review support and monitoring of remediation or rectification actions.
- Provide day-to-day guidance, training and knowledge sharing to advisers and associates, including induction, Client Advice Process support, advice suitability guidance and targeted refresher training.
- Review, challenge and approve business exceptions and pre-approvals where required, including advice pre-vetting, travel, pricing, cross-border, LGT access and other approval matters.
- Maintain and oversee regional exception, incident and escalation processes, including reporting issues, errors, incidents, breaches or unusual activity to Front Office Management where appropriate.
