Risk Manager- High Net Worth

2 weeks ago

Saint Louis, United States Edward Jones Full time
Your passion. Our purpose. This could be powerful.

Maybe the markets keep you up at night. Trusts are your forte. Or your idea of a perfect day at the office is a deep dive into equity research. Whatever your passion, at Edward Jones it will have purpose. Your work is meaningful - because it has a singular focus: client relationships. What you do every day helps people achieve and protect their financial goals. Impacting lives for the better. And with our remarkable work-life flexibility, one of the lives it could enhance is yours.

Job Overview

Position Schedule: Home Office

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.

The Risk Manager - High Net Worth partners with leaders in the Wealth Management Advice & Solutions (WMAS) division to manage the risks associated with the High Net Worth (HNW) 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.

What You Will Do:
  • 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 issue/incident management, control testing, critical business process mapping/inventorying and risk assessment support including new projects and initiatives.
  • 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 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 issues 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 position is known internally as a Senior Risk & Control Associate

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.

Hiring Minimum: $96471
Hiring Maximum: $164262

Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act. Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf.
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Skills/Requirements

What Experience You Need:
  • 5 years of risk management experience required
  • Series 7 required or attainable within twelve months of hire
  • Experience in financial services, specifically wealth management, asset management, investment advisory, 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 audience

What Could Set You Apart:
  • Advanced degree or industry designation preferred
  • Previous experience with high net worth client services and/or financial planning preferred

*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.

Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act. Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf.

Read More About Skills/Requirements

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

Read More About Awards & Accolades

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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