Executive Director, Front Management

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.

"Become part of a family – not just a company."
Working in an inspiring and international environment.

We are always looking for qualified, motivated and dedicated colleagues. Discover the below opportunities open to you:

Job Description

• Strengthen risk management governance in the first line of defence by ensuring adequate supervision of day-to-day business conduct and activities of the Front Office, adhering to internal directives, procedures, and regulatory requirements.
• Oversee and collaborate closely with the Front Office to continually enhance operational risk processes and refine business operation.  This role is instrumental in fostering compliant business activities and guiding risk-informed decision-making processes with support of and in collaboration with Management and other stakeholders, including Business Risk Management, Operations, Legal and Compliance.
• Provide guidance and advice (with relevant stakeholders where required) to the Front Office on the Bank’s internal directives and procedures, compliance and regulatory-related matters, including but not limited to AML/CFT policy and procedural changes, cross-border marketing guidelines, adherence to advisory and suitability policies and procedures, fraud prevention policy and procedures.
• Conduct thorough analysis and regular business and control reviews to get insightful outcomes and recommendations, aiding in decision-making and risk assessment.  In conjunction with the relevant departments, ensure any rectification or remediation efforts are monitored promptly and with quality resolution.
• Handle complex matters or challenges by identifying problems and collaborating with stakeholders to find efficient solutions.  This includes reviewing Front Office requests, providing approvals (where appropriate), and escalating to Management.
• Ensure compliance with regulatory and internal control standards, including the timely implementation of internal and external audit points and any issues regulators raise.
• Analyse data to identify potential risk areas and work with relevant stakeholders to ensure the effectiveness of risk mitigation strategies.
• Foster a strong risk culture and conduct awareness amongst the Front Office with the relevant training, market intelligence and knowledge sharing.
• Lead and support business initiatives, process-related risk projects, working groups, business forums and governance meetings, where appropriate.

Requirements

• 15 years+ experience in Business Management, Business Risk Management, Compliance, or other first-line of defense functions within private banking or wealth management.
• Strong understanding of Front Office activities, products, client servicing, and related operational, conduct, and regulatory risks.
• Hands-on experience advising client-facing staff on internal policies and external regulatory requirements, including AML/CFT, cross-border marketing, suitability and advisory requirements, fraud prevention, and other internal controls.
• Proven experience in conducting risk and control reviews, identifying control gaps, driving remediation, and managing audit or regulatory findings through to closure.
• Demonstrated ability to analyse data, identify emerging risk trends, and translate findings into clear, practical and actionable recommendations.
• Strong stakeholder-management skills, with the ability to influence senior front office and control-function stakeholders.
• Strong judgement, strong problem-solving skills, and the ability to manage complex or sensitive matters independently, while escalating appropriately.
• Excellent written and verbal communication skills in English and Mandarin.

Contact Information

We are looking forward to receiving your online application.

For any further information please do not hesitate to contact our HR Business Partner.

LGT Bank (Hong Kong)

Human Resources

Catherine Wong