About this role
Senior Risk Manager - Financial Planning
Opportunity Overview: Team Overview: The Wealth Management and Field Management (WMFM) 1st Line Risk Team identifies, assesses, manages, and elevates risks across the WMFM organization while supporting implementation of the Enterprise Risk Management (ERM) Framework. The Senior Risk Manager – Financial Planning serves as a trusted risk advisor and partner, managing risks associated with the firm’s financial planning activities and offerings. The role collaborates with stakeholders across the organization to drive risk management initiatives, provide visibility into the WMFM risk profile, and support the design and monitoring of risk mitigation plans. This is a hands-on individual contributor role focused on execution and influence rather than people leadership.
What You'll Do: • Carry out risk and control activities for the Financial Planning line of business in alignment with the Enterprise Risk Management (ERM) Program and divisional requirements. • Manage issues and incidents, maintain critical business process inventories and mapping, and conduct risk assessments for existing operations, new projects, and strategic initiatives. • Advise the team on divisional processes, historical risk results, firm policies and programs, and ERM Program Framework and Standards. • Partner with Business Owners to ensure policies, standards, and procedures align with ERM requirements and support risk owners in evaluating remediation strategies and control enhancements. • Execute risk management requirements for open high risks, including root cause analysis, action plan development, evidence, and remediation documentation, while supporting and challenging risk owners on action plan effectiveness. • Identify and communicate emerging risk concerns, provide early warning of key risks to divisional leadership, and develop, inventory, and report on Key Risk Indicators (KRIs). • Use a Governance, Risk, and Compliance (GRC) system to document risk issues and assessment data and assist leadership with reporting and analysis for risk forums. • Serve as a resource to divisional associates and business partners, including developing risk training and education and supporting understanding of the Enterprise Risk Management Program. • Internally, this role is titled Senior Risk and Control Associate.
Position Requirements: What Experience You Need: • Bachelor’s degree required. • 5+ years of risk management and/or audit experience required. • FINRA Series 7 license required or must be obtained within 12 months of hire. • Experience in financial services, specifically trading, wealth management, asset management, investment advisory, and/or financial planning. • Strong analytical, problem-solving, and systems-thinking skills, with the ability to independently identify, prioritize, monitor, communicate, and/or resolve issues, including root cause analysis. • Strong written and verbal communication skills, with the ability to tailor communication to the audience. • Experience building relationships and networks across varying levels of an organization. • Experience with Microsoft Office and GRC tools. "Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office four days per week."
Company Description: Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 9 million clients and 20,000 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 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.
Awards and 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
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EEO Statement: 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.
Salary Information: 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.