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Senior Risk & Control Associate

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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