Team Leader - Digital Regulatory, Governance & Controls Assurance

Edward Jones; St. Louis (MO); On-site; USD 120,000 - 180,000; Full time

Job summary

Edward Jones is seeking a Team Leader, Regulatory, Controls & Policy Governance Assurance to lead technology risk and controls activities within the 1LOD. You will drive SOX ITGC audits, policy lifecycle governance, and regulatory responses while partnering with Technology, Legal, Compliance, Internal Audit, and business stakeholders.

The role emphasizes developing teams, improving control testing through automation, and aligning with the firm’s risk appetite and regulatory strategy.

Qualifications

• Bachelor's degree or equivalent experience is required.
• 5+ years in technology risk, regulatory compliance, audit, controls assurance, or policy governance.
• Minimum 1 year in a leadership or people management role.
• Experience operating in a first line of defense is strongly preferred.

Responsibilities

• Lead technology risk and controls assurance activities, including OE testing and coordinating with Domain Risk Managers.
• Coordinate timely responses to regulatory inquiries and gather necessary evidence and artifacts.
• Serve as the first-line owner for technology regulatory inquiries and controls assurance.
• Lead SOX ITGC audits, including testing, remediation oversight, and reporting.
• Align activities with enterprise risk framework and governance strategy.
• Own and govern technology risk policies, standards, and supporting documentation.
• Manage policy lifecycle from development to retirement and updates.
• Escalate control weaknesses and drive root-cause remediation with stakeholders.
• Lead, coach, and develop teams; provide career development and succession planning.
• Foster strong partnerships across Technology, Business, Risk, Compliance, and Internal Audit.
• Improve control testing through automation and CCM; standardize regulatory response processes.
• Utilize data and metrics to improve effectiveness and audit readiness.

Skills

Tech risk frameworks

Policy governance

Regulatory expectations (tech/cyber)

SOX ITGC audits

Analytical communication skills

Education

Bachelor's degree or equivalent

Job description

This job posting is anticipated to remain open for 30 days, from 01-Sep-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.

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

Team Overview

The Team Leader, Regulatory, Controls & Policy Governance Assurance, leads a team responsible for the execution, oversight, and continuous improvement of regulatory compliance, technology control assurance, and policy and standards governance within the first line of defense (1LOD).

This role ensures that technology risks, controls, policies, and standards are identified, designed, implemented, monitored, and remediated in alignment with regulatory expectations, internal governance frameworks, and the firm’s risk appetite. The role partners closely with Technology, Domain Risk Management, Legal, Compliance, Internal Audit, and external regulators, while retaining clear first line ownership and accountability.

What You'll Do

Regulatory & Controls Leadership

• Lead technology risk and control assurance activities, including control operating effectiveness (OE) testing, and engage Domain Risk Managers on findings requiring Issues and Action Plans.
• Coordinate timely responses to regulatory and third-party inquiries, partnering with business stakeholders to obtain required evidence and artifacts.
• Serve as the first-line owner for technology regulatory inquiries and controls assurance, ensuring risks are managed within established tolerance levels.
• Engage in SOX ITGC audits, including control testing, issue identification, remediation oversight, reporting, and escalation management.

Risk, Control, Policy & Standards Governance

• Align team activities with the enterprise risk management framework and regulatory strategy.
• Own and govern technology risk policies, standards, procedures, and supporting documentation.
• Manage the end-to-end policy lifecycle, including development, review, approval, exception management, updates, and retirement.
• Ensure policies and standards remain aligned with evolving regulatory, business, and technology requirements.
• Lead regulatory exam preparation, controls assurance activities, and third-party reviews.
• Escalate control weaknesses, policy gaps, and risk issues, partnering with Domain Risk Managers to drive root-cause analysis and remediation.

Team Leadership & Development

• Lead, coach, and develop teams responsible for regulatory assurance, control testing, and policy governance.
• Provide ongoing performance feedback, mentorship, and career development support.
• Build organizational depth through succession planning and development of regulatory, risk, and policy expertise.

Stakeholder Engagement

• Foster strong partnerships across Technology, Business, Risk Management, Compliance, and Internal Audit.
• Influence stakeholders to address risk and control issues while reinforcing first-line accountability.

Process & Continuous Improvement

• Enhance the control testing program through automation and Continuous Controls Monitoring (CCM) to improve efficiency and audit readiness.
• Standardize regulatory response processes and strengthen exam readiness capabilities.
• Continuously improve Policy & Standards Governance processes to maintain alignment with regulatory requirements.
• Leverage data, automation, and metrics to improve effectiveness, efficiency, and reporting.
• Ensure effective stewardship of financial and staffing resources.

What Experience You'll Need

Education & Experience

• Bachelor's degree or equivalent experience.
• 5+ years of experience in technology risk, regulatory compliance, audit, controls assurance, or policy governance.
• Minimum 1 year in a leadership or people management role.
• Experience operating in a first line of defense is strongly preferred.

Knowledge & Skills

• Strong understanding of technology risk frameworks, policy governance and internal controls.
• Knowledge of regulatory expectations for technology and cyber risk.
• Strong experience with execution of SOX ITGC Audits.
• Strong judgment, analytical, and communication skills.
• 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 effective June 1, 2026. Before June 1, 2026, 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 three days per week, with preference for Tuesday through Thursday.

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

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&DD coverage. Short- and long-term disability, basic life, and basic AD&DD 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.