Senior Risk & Control Associate, Risk Transformation
Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500 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.
About the Team
The Business Operations and Service (BOS) First Line Risk capability plays a critical role in executing a risk program that the organization finds inspirational. Through strategic thinking and cross-functional collaboration, you’ll continuously identify opportunities for operational efficiency and risk mitigation, supporting the firm and the BOS division in its key objectives.
Within the BOS division, the ideal future state is digitally enabling Operations to foster a frictionless flow of client and branch team transactions, with minimal reliance on manual processes.
Responsibilities
- Lead full risk assessments, in collaboration with risk owner(s) and their delegates, for the final future state process design and validate the needed future state process controls were implemented.
- Perform control design consultation for future state process risks ensuring appropriate mitigation of risks via automated preventative controls, to the extent possible.
- Consult with Operations leadership on risk and control considerations as the division develops, evolves, and executes its future workforce strategy.
- Responsible for carrying out risk and control activities utilizing Enterprise Risk Management policies, standards, and frameworks.
- Execute risk management procedural requirements for open out-of-appetite risks including root cause analysis, action plan development, evidence, and remediation documentation including supporting and challenging risk owners on action plan effectiveness.
- Execute risk management activities through quantitative and qualitative analysis utilizing established Risk and Control matrices and GRC application.
- Assist in development of risk training and education to business partners, while serving as a coach and risk liaison for divisional stakeholders.
- Stay informed on risk, industry, and educational/development opportunities.
Requirements
- Bachelor's degree
- 6+ years of risk management experience
- Proficiency in Microsoft product suite as well as other software programs and databases
- Ability to effectively execute risk engagements utilizing established risk frameworks
Qualifications
What could set you apart:
- CPA, CIA, FRM, or other risk certification
- FINRA Series 7 or 99
- Experience developing or applying risk frameworks
- Experience using a GRC tool
- Experience in the Brokerage Industry
Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office four days per week.
Benefits
- Medical and prescription drug coverage
- Dental and vision insurance
- Voluntary benefits (such as accident, hospital indemnity, and critical illness)
- Short- and long-term disability, basic life, and basic AD&D coverage (provided at no cost to associates)
- 401k retirement plan
- Tax-advantaged accounts: health savings account and flexible spending account
- Ten paid holidays
- 15 days of vacation for new associates beginning on January 1 of each year
- Sick time, personal days, and a paid day for volunteerism
- Eligibility for bonuses and profit sharing
- Employee Assistance Program