Senior Risk and Control Associate
1 month ago
Here at Edward Jones the client is our single focus and our relationships with them are the measure of everything we do. And Service and Operations divisions are at the center of it all. We support our clients, branch teams and headquarter associates in providing the best possible experience. Advocate for our more than 7 million clients through regulation communication, fraud protection and managing their investment distributions. Protect their investments by mitigating risk. And innovate new ways of working. Using insights to create solutions for the future - in the here and now.
Job Overview
Position Schedule: Full-Time
Division Overview:
In the Operations division at Edward Jones, you'll focus on creating the ideal client and branch experience. From account opening to trade settlement and movement of client cash and securities, to statement production and tax reporting, Operations is involved every step of the way. As the backbone of the branch, your work will support all client transactions and processing through the life cycle of the client relationship. Through strategic thinking and cross-functional collaboration, you'll continuously identify opportunities for operational efficiency and risk mitigation, supporting the firm in its key objectives.
What You'll Do:
The Sr. Risk & Control Associate assists division leaders in identifying, evaluating, mitigating, and monitoring the operational, strategic, compliance & legal, financial, and other risks of the division. Assists in the execution of the risk management program, which includes performing and facilitating risk assessments, connecting the risks across reporting responsibilities and assisting Risk Leaders in prioritizing risk mitigation efforts. While this position is an individual contributor role, the person in this position will work in partnership with internal stakeholders, including divisional leadership, as well as risk representatives from across the organization.
- Act as an independent advisor for leaders and associates by facilitating the risk assessment process over firm initiatives (new products, services, and/or technology), to ensure the significant risks are identified and addressed, including but not limited to ethical business practice, company policies, and regulatory requirements
- Identify, quantify, and respond to risks to enable risk-based actions and decision-making by business leaders
- Advise on control design to mitigate risks and be able to identify control gaps or when control environments can be improved
- Act as an independent advisor for leaders in the development of key risk metrics (KRIs & KPIs) for inclusion in reporting to divisional leadership
- Analyze data to identify trends, underlying issues and/or meaningful insights, and generate digestible reporting that divisional leadership can use to make informed conclusions and/or support decisioning
- Engage in the division's implementation and use of the firm's GRC Tool
- Engage in special projects aimed to mitigate high priority risks
- Assist Risk Leaders in developing risk strategy to maximize the firm's benefits whilst minimizing risk exposure, developing processes to control and monitor risk
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. Visit our career site 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:
Hiring Minimum: $96471
Hiring Maximum: $164262
Skills/Requirements
Qualifications
Experience You Need:
- Bachelor's degree (business, finance or accounting preferred)
- SIE and Series 99 required within 89 days of start date (US); Series 7 required within 12 months of start date (US).
- 5+ years public accounting, internal audit, risk management, consulting, or internal control experience with comprehensive knowledge of process analysis and control design techniques required
- Ability to draw insights from and/or identify outliers in data sets and generate action via digestible reporting
- Analytical, problem-solving and systems thinking skills including the ability to independently identify, prioritize, monitor, communicate, and/or resolve issues
- Ability to facilitate risk discussions with various stakeholders of all levels within the organization
- Proficiency in Microsoft Word, Excel, PowerPoint, Visio, as well as other software programs and databases
- Strong written and verbal communication skills, with ability to tailor communication based on the audience
- Ability to strategically plan and effectively execute
What Could Set You Apart:
- CPA, CIA, CFE, CISA or FRM preferred
- Experience in auditing, consulting, or managing controls related to SOX and/or 17a-5 frameworks
- Proficiency in leading risk assessments over operational processes
- Experience developing and enhancing risk frameworks
- Experience building solutions and reporting using SharePoint, Power BI and/or Tableau
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
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 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.
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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