Team Leader - Digital Regulatory, Governance & Controls Assurance

Edward Jones; Tempe (AZ); On-site; USD 110,000 - 160,000; Full time

Benefits offered by this job

Medical and prescription drug

Dental

Vision

401k plan

HSA / FSA

Paid holidays

Vacation time

Volunteer day

Bonuses & profit sharing

Employee assistance program

Job summary

Edward Jones is seeking a seasoned leader to own technology risk, regulatory compliance, controls assurance, and policy governance. You will guide risk programs, mentor teams, and collaborate with Technology, Risk Management, Compliance, Internal Audit, and business partners to provide timely responses to regulators and auditors.

Requirements include a Bachelor’s degree and 5+ years in technology risk with at least 1 year in leadership.

Qualifications

• Bachelor’s degree or equivalent experience.
• 5+ years in technology risk, regulatory compliance, controls assurance, audit, or policy governance, with at least 1 year of leadership.
• Strong knowledge of technology risk frameworks, internal controls, policy governance, and technology/cyber risk regulations.
• Experience supporting and executing SOX ITGC audits, control testing, and regulatory reviews.

Responsibilities

• Lead technology risk, regulatory, and controls assurance activities, including control testing, audits, regulatory inquiries, and remediation efforts.
• Own and govern technology risk policies, standards, and procedures, ensuring compliance with regulatory and enterprise requirements.
• Drive regulatory exam readiness and partner with stakeholders to deliver timely, accurate responses to regulators, auditors, and third parties.
• Identify, assess, escal, and mitigate technology risks, control gaps, and compliance issues in collaboration with business and risk partners.
• Lead, coach, and develop teams responsible for controls testing, regulatory assurance, and policy governance.
• Build and maintain strong partnerships across Technology, Risk Management, Compliance, Internal Audit, and business stakeholders.
• Enhance risk and governance programs through process improvements, automation, continuous controls monitoring, and data-driven reporting.
• Ensure effective management of financial, operational, and staffing resources while supporting organizational objectives.

Skills

Technology risk governance

Regulatory compliance

Leadership

Education

Bachelor’s degree or equivalent experience

Job description

This job posting is anticipated to remain open for 30 days, from 14-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.

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

Key Responsibilities

• Lead technology risk, regulatory, and controls assurance activities, including control testing, audits, regulatory inquiries, and remediation efforts.
• Own and govern technology risk policies, standards, and procedures, ensuring compliance with regulatory and enterprise requirements.
• Drive regulatory exam readiness and partner with stakeholders to deliver timely, accurate responses to regulators, auditors, and third parties.
• Identify, assess, escal, and mitigate technology risks, control gaps, and compliance issues in collaboration with business and risk partners.
• Lead, coach, and develop teams responsible for controls testing, regulatory assurance, and policy governance.
• Build and maintain strong partnerships across Technology, Risk Management, Compliance, Internal Audit, and business stakeholders.
• Enhance risk and governance programs through process improvements, automation, continuous controls monitoring, and data-driven reporting.
• Ensure effective management of financial, operational, and staffing resources while supporting organizational objectives.

• Bachelor’s degree or equivalent experience.
• 5+ years of experience in technology risk, regulatory compliance, controls assurance, audit, or policy governance, with at least 1 year of leadership experience.
• Strong knowledge of technology risk frameworks, internal controls, policy governance, and technology/cyber risk regulations.
• Experience supporting and executing SOX ITGC audits, control testing, and regulatory reviews.
• Preferred experience operating within a first line of defense environment.
• Strong analytical, communication, problem-solving, and decision-making skills.

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&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.