Senior Risk Manager - Investment Advisory

Edward Jones; Tempe (AZ); Hybrid; USD 110,000 - 180,000; Full time

Benefits offered by this job

Medical benefits

Dental benefits

Vision benefits

401(k) with company match

HSA/FSA options

Paid holidays and vacation

Disability and life insurance

Employee assistance program

Job summary

Edward Jones is hiring a Senior Risk Manager – Investment Advisory to assess and manage risks across investment advisory products, partnering with stakeholders to drive mitigation and reporting.

The role focuses on execution and influence, not people leadership, with emphasis on ERM compliance and risk visibility for the WMFM organization.

Qualifications

• 5+ years of risk management and/or audit experience.
• Bachelor’s degree required.
• FINRA Series 7 license or acquire within 12 months of hiring.
• Experience in financial services, specifically trading, wealth management, asset management, investment advisory, and/or financial planning.
• Strong analytical, problem-solving and systems thinking skills.
• Strong written and verbal communication skills, with ability to tailor communication.
• Experience in building relationships and networks
• Experience with Microsoft Office and GRC tools.

Responsibilities

• Execute risk and control activities for the Investment Advisory line in alignment with the ERM Program and divisional requirements.
• Manage issue and incident management, process inventorying/mapping, and risk assessments for operations, projects, and initiatives.
• Advise on divisional processes, policies, and ERM Program standards.
• Partner with Business Owners to ensure policies align with ERM requirements and support remediation strategies.
• Execute requirements for open high risks, including root cause analysis and remediation documentation.
• Review emerging risk concerns and develop, inventory, and report on KRIs.
• Use GRC systems to document risk issues and support leadership in risk reporting.
• Support risk training for business partners and associates.
• Internally titled Senior Risk and Control Associate.

Skills

Risk management

Analytical thinking

Problem solving

Communication

Relationship building

MS Office

GRC tools

Education

Bachelor's degree

Tools

GRC tools

Job description

This job posting is anticipated to remain open for 30 days, from 01-Oct-2026. The posting may close early due to the volume of applicants.

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 (https://careers.edwardjones.com/blog/edward-jones-releases-annual-purpose-inclusion-and-citizenship-report/?codes=DIRECT&utm_source=DIRECT).

¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.

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 – Investment Advisory serves as a trusted risk advisor and partner, managing risks associated with the firm’s investment advisory activities and product 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:

• Execute risk and control activities for the Investment Advisory line of business in alignment with the Enterprise Risk Management (ERM) Program and divisional requirements.
• Manage issue and incident management, critical business process inventorying and mapping, and risk assessments for existing operations, new projects, and strategic initiatives.
• Advise the team on divisional processes, historical risk results, firm policies and programs, and all ERM Program Framework and Standards.
• Partner with Business Owners to ensure policies, standards, and procedures align with ERM requirements, and support Business Risk Owners in evaluating remediation strategies and control enhancements.
• Execute procedural requirements for open high risks, including root cause analysis, action plan development, evidence, and remediation documentation, while supporting and challenging Business Risk Owners on action plan effectiveness.
• Review emerging risk concerns, provide early warning of key risks to divisional leadership, and develop, inventory, and report on Key Risk Indicators (KRIs).
• Use Governance, Risk, and Compliance (GRC) systems to document risk issues and assessment data, and support leadership in developing reports and analyzing results for risk forums.
• Serve as a resource to the team and divisional associates, and support risk training and education to help business partners and divisional associates understand the ERM Program.
• Internally this role is titled as Senior Risk and Control Associate

What Experience You Need:

• 5+ years of risk management and/or audit experience required
• Bachelor’s degree required
• FINRA Series 7 license or acquire within 12 months of hiring
• Experience in financial services, specifically trading, wealth management, asset management, investment advisory, and/or financial planning
• Strong analytical, problem-solving and systems thinking skills including the ability to independently identify, prioritize, monitor, communicate, and/or resolve issues, including root cause analysis
• Strong written and verbal communication skills, with ability to tailor communication based on the audience
• Experience in building relationships and networks, at varying levels in the 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."

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 (https://careers.edwardjones.com/blog/?_sft_category=awards-accolades).

Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones (https://careers.edwardjones.com/en-CA/blogs/?_sft_category=awards-accolades-en-ca).

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.

• 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 (https://secure.edwardjonesbenefits.com/fleet/public/index/f914262d-0362-4682-bd1e-0ccd25f1dfb1).