Risk Manager – Investment Advisory

Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 8 million clients and 19,000 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 2023, data as of December 2022. Compensation provided for using, not obtaining, the rating.Team Overview:Wealth Management Advice and Solutions (WMAS) First Line Risk Management team is responsible for the execution of the risk management framework within the WMAS business with an expanded focus on existing and enhanced advice, planning, products, and services. The team is accountable for building and communicating the operational risk profile of WMAS functional capabilities through risk consultation and risk assessment.What You'll Do:The Risk Manager – Investment Advisory partners with leaders in the Wealth Management Advice & Solutions (WMAS) division to manage the risks associated with the Investment Advisory 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 you will be a part of…• Responsible for carrying out risk and control activities per the Enterprise Risk Management Program as well as any divisional-required elements.• Understands and advises team on division processes, historical risk results, firm policies/programs including all Enterprise Risk Management Program Framework and Standards.• Primary focus includes risk assessment support for existing and new projects and initiatives, issue/incident management, control development, and conflicts of interest.• Assist Business Owners in ensuring policies, standards and procedures are consistent with ERM policies and standards.• Supports business risk owners in evaluating remediation strategies and control enhancements.• Executes risk management procedural requirements for risks including root cause analysis, action plan development, evidence, and remediation documentation including supporting and challenging business risk owners on action plan effectiveness.• Performs external monitoring to identify emerging risks and provides early warning on key risks with divisional leadership. Supports the development and reporting of KRIs for the division.• Documents and maintains risks, actions, incidents, and assessment data.• Assists leadership in developing reporting and analyzing results for inclusion in risk forums.• Acts as resource to team and assists divisional associates.• Assists in development of risk training and education to business partners. Assists divisional associates in understanding the Enterprise Risk Management Program.• Stays informed on risk industry and educational/development opportunities.• **This is posted internally as a Senior Risk & Control AssociateWhat Experience You'll Need:• Bachelor's degree• 5+ years of risk management experience• Series 7 required or attainable within twelve months of hire• Experience in financial services, specifically wealth management, asset management, investment advisory, trading, financial planning, and/or alternative investments• Experience with Microsoft Office and GRC tools• Experience in building relationships and networks, at varying levels in the organization• Strong written and verbal communication skills, with ability to tailor communication based on the audienceWhat Could Set You Apart:• Advanced degree or industry designation• Previous experience and expertise knowledge with Investment Advisory• **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***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 JonesCheck out our Canadian awards and accolades: Insights & Information Blog Postings about Edward JonesEdward 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.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.