Front Office Senior Risk Manager - Advice

Neo Talent; Melbourne; On-site; AUD 120,000 - 150,000; Full time

Job summary

Neo Talent is seeking an experienced Front Office Senior Risk Manager to join the Melbourne team. You will partner with business leadership and advisers to oversee advice suitability, business conduct and risk controls, operating in the first line of defence to balance regulatory obligations with commercial objectives.

The role focuses on overseeing adviser activities, managing risks, conducting control reviews, and guiding governance and regulatory change initiatives within a well-established

Qualifications

• Proven Line 1 risk experience within wealth management, private banking or an investment advisory environment.
• Strong understanding of risk controls and regulatory obligations.
• Ability to partner with senior stakeholders to balance risk and commercial objectives.

Responsibilities

• Overseeing adviser activities, business conduct and advice suitability.
• Partnering with advisers and leadership to identify and manage risks.
• Conducting risk reviews, assessments and remediation monitoring.
• Reviewing business exceptions and advice-related matters.
• Providing risk guidance and training to advisers and associates.
• Managing incidents and governance/regulatory change initiatives.

Skills

Line 1 risk experience

Wealth management

Investment advisory

Job description

This organisation is a well-established wealth management business with a strong domestic presence and international backing, providing sophisticated wealth management services to HNW and UHNW clients.

An opportunity has arisen for an experienced Front Office Senior Risk Manager to join the Melbourne team. Reporting to the Chief of Staff, you will partner with business leadership, investment advisers and associates to oversee advice suitability, business conduct and risk controls.

Operating within the first line of defence, you will provide practical risk guidance, balancing regulatory obligations with commercial business objectives.

Key responsibilities include:

• Overseeing adviser activities, business conduct and advice suitability.
• Partnering with advisers and business leadership to identify and manage risks.
• Conducting control reviews, risk assessments and monitoring remediation activities.
• Reviewing business exceptions, approvals and advice-related matters.
• Providing risk guidance, training and support to advisers and associates.
• Managing incidents, escalations and supporting governance and regulatory change initiatives.

This organisation is a well-established wealth management business with a strong domestic presence and international backing, providing sophisticated wealth management services to HNW and UHNW clients.

An opportunity has arisen for an experienced Front Office Senior Risk Manager to join the Melbourne team. Reporting to the Chief of Staff, you will partner with business leadership, investment advisers and associates to oversee advice suitability, business conduct and risk controls.

Operating within the first line of defence, you will provide practical risk guidance, balancing regulatory obligations with commercial business objectives.

Key responsibilities include:

• Overseeing adviser activities, business conduct and advice suitability.
• Partnering with advisers and business leadership to identify and manage risks.
• Conducting control reviews, risk assessments and monitoring remediation activities.
• Reviewing business exceptions, approvals and advice-related matters.
• Providing risk guidance, training and support to advisers and associates.
• Managing incidents, escalations and supporting governance and regulatory change initiatives.

We are seeking candidates with proven Line 1 risk experience within wealth management, private banking or an investment advisory environment. You will understand advice processes, regulatory obligations and the commercial considerations of supporting investment advisers and their clients.

Commercially astute and confident engaging with senior stakeholders, you will bring sound judgement, strong relationship management skills and a pragmatic approach to risk management.

This is an excellent opportunity to join a highly regarded global wealth management business, offering senior leadership exposure, a collaborative environment and the opportunity to make a meaningful impact.