Senior Risk & Control Associate
#20484_1367365794
Position summary
to manage the risks associated with advice and guidance and the proprietary products and services. Effectively controls the risks associated with business activities via the execution of firm's Enterprise Risk Management framework for identifying, assessing, treating, mitigating, monitoring, reporting and escalating risks.
Here are a few of the Key Responsibilities:
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Responsible for carrying out risk and control activities per the Enterprise Risk Management Program as well as any divisional-required elements.
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Understands and advises team on division processes, historical risk results, firm policies/programs including all Enterprise Risk Management Program Framework and Standards.
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Primary focus includes issue/incident management, control testing, critical business process mapping/inventorying and risk assessment support including new projects and initiatives.
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Assist Business Owners in ensuring policies, standards and procedures are consistent with ERM policies and standards.
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Supports business risk owners in evaluating remediation strategies and control enhancements
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Executes risk management procedural requirements for open high risks including root cause analysis, action plan development, evidence, and remediation documentation including supporting and challenging business risk owners on action plan effectiveness.
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Reviews emerging risk concerns and provides early warning on key risks with divisional leadership. Works to develop, inventory and report on KRIs for the division.
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Use a GRC to document risk issues and assessment data.
*This position is known internally as a Senior Risk and Control Associate
Edward Jones' compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage. Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates. Edward Jones offers a 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account. Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing. All associates are eligible for the firm's Employee Assistance Program. For more information on the Benefits available to Edward Jones associates, please visit our benefits page.
Hiring Minimum: $99200
Hiring Maximum: $168900
Skills/Requirements
What Experience You'll Need:
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Bachelor's Degree
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5+ years of risk management experience
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Series 7 or attainable within twelve months of hire
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Experience in financial services, specifically wealth management, asset management, investment advisory, financial planning, and/or high net worth client services
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Experience with Microsoft Office and GRC tools
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Experience in building relationships and networks, at varying levels in the organization
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Strong written and verbal communication skills, with the ability to tailor communication based on the audience
What Could Set You Apart:
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Advanced degree or industry designation preferred
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Previous experience with investment advisory preferred
Candidates that live within in a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday.
Current home-based associates: While this role is posted as hybrid**, if selected and accepted, you may retain your home-based status**. Edward Jones intends in good faith to continue offering the roleas home-based, though future business or regulatory needs may require on-site work.
Read More About Skills/Requirements
Awards & Accolades
At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received.
Check out our U.S. awards and accolades: Insights & Information Blog Postings about Edward Jones
Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones
Read More About Awards & Accolades
About Us
Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 9 million clients and 20,000 financial advisors across the U.S. and Canada, we're proud to be privately-owned, placing the focus on our clients rather than shareholder returns.
Behind everything we do is our purpose: We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging.
People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start or build your career.
View our Purpose, Inclusion and Citizenship Report.
¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.
Edward Jones does not discriminate on the basis of race, color, gender, religion, national origin, age, disability, sexual orientation, pregnancy, veteran status, genetic information or any other basis prohibited by applicable law.
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