Senior Risk & Control Associate
Company: EDWARD JONES
Location: Saint Charles
Posted on: March 8, 2023
Job Description:
At Edward Jones, we help clients achieve their serious,
long-term financial goals by understanding their needs and
implementing tailored solutions. To ensure a personal client
experience, we have located our 15,000+ branch offices where our
more than 7 million clients live and work.
In a typical branch office, a financial advisor meets with clients
and receives branch office support, so they can focus on building
deep relationships with clients. Headquarters associates in St.
Louis, Tempe and Mississauga provide support and expertise to help
U.S. and Canada branch teams deliver an ideal client experience. We
continue to grow to meet the needs of long-term individual
investors.Effectively enables risk management capabilities across
the business using Risk and Enterprise Risk Management frameworks
and tools. This role is responsible for identifying, assessing,
monitoring, reporting and escalating risks related to the business
as well as aiding the business in risk treatment and mitigation
strategies.
Wealth Management Advice and Solutions First Line Risk Management
is an enabling first line risk capability responsible for the
execution of the Enterprise risk standards and risk framework
across Wealth Management Advice and Solutions. The team is
accountable for building and communicating the risk profile of
WMAS-owned Value Teams, Enterprise Epics and core work through risk
consultation and risk assessment. The WMAS Risk team is embedded in
business, partnering closely with senior functional leadership in
WMAS. Risk expertise is focused on Wealth Management advice,
planning, products, and services, both new and existing, across the
full spectrum of the risk taxonomy and the firm. Due to
interconnected nature of our Wealth platform and its products and
services, there is a high degree of complexity and coordination
required across other business unit leadership, functional
capabilities, first line risk teams and second line of defense to
execute effectively.
Responsibility Summary:
Responsible for the execution of 1st
Line of Defense risk management activities including the
identification, assessment, measurement and management of risk in
accordance with both Enterprise Risk Management Program policies as
well as divisional requirements.Understands and advises team on
division processes, historical risk results, firm policies/programs
including all Enterprise Risk Management Program Framework and
Standards. Partner across various 1st Line of Defense Risk
Management function to execute risk assessments. Partnering with
the business to implement strategies defined either by the WMAS
Risk Management or the Enterprise Risk Management function.
Supports business risk owners in evaluating remediation strategies
and control enhancementsExecutes 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.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. Use a GRC
to document risk related data, including 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 ProgramStays informed
on risk industry and educational/development opportunities.
3-5 years of risk management
experience requiredSeries 7 or attain within 12 months of hire
date.College degree Knowledge of the financial services industry,
products, and regulatory environment
- 100 Best Workplaces for Millennials in 2022, published Fortune
July 2022, Great Places to Work - data as of March 2022.
Compensation provided for using, not obtaining, the rating.
- Edward Jones was recognized as one of the Best Workplaces for
Millennials by Great Places to Work - and Fortune - magazine. The
privately held firm ranked No. 2 overall, in its fourth appearance
on the list.2022 Fortune Best Workplaces for Women, published
September 2022, research by Great Places to Work -, data as of
August 2021. Compensation provided for using, not obtaining, the
rating.
Edward Jones has been named to the
2022 Best Workplaces for Women list by Great Places to Work - and
Fortune - magazine, ranking No. 45.2022 Fortune's 100 Best
Companies to Work For, published April 2022, research by Great
Place to Work -, data as of August 2021. Compensation provided for
using, not obtaining, the rating.
For the 23rd time, Edward Jones has
earned a spot on the Fortune 100 Best Companies to Work For -
ranking by Great Places to Work - and Fortune - magazine. Edward
Jones ranked No. 35 on the prestigious 2022 list.2022 Best Places
to Work For LGBTQ+ Equality, Great Place to Work - in partnership
with Human Rights Campaign Foundation, published Equity Magazine
January 2022, data as of July 2021. Compensation provided for
using, not obtaining, the rating.
Edward Jones scored 100 percent on
the Human Rights Campaign Foundation's 2022 Corporate Equality
Index (CEI) the nation's foremost benchmarking survey and report
measuring corporate policies and practices related to LGBTQ+
workplace equality. The ranking designated Jones as one of the best
places to work for LGBTQ+Equality.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.At Edward Jones, we value and respect our
associates and their contributions, and we recognize individual
efforts through a rewards program that promotes a long-term career,
financial security and well-being. to learn more about our total
compensation approach, which in addition to base salary, typically
includes benefits, bonuses and profit sharing. The salary range for
this role is based on national data and actual pay is based on
skills, experience, education, and other relevant factors for a
potential new associate:
Salary: $92984 - $158325
Category: Headquarters
Keywords: EDWARD JONES, Saint Charles , Senior Risk & Control Associate, Other , Saint Charles, Missouri
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