Team Leader- Risk & Control

Edward Jones; Tempe (AZ); On-site; USD 110,000 - 140,000; Full time

Benefits offered by this job

401k retirement plan

Medical and prescription drug coverage

Dental coverage

Vision coverage

Short- and long-term disability

Life insurance

Paid holidays

Job summary

Edward Jones is seeking an experienced Enterprise Risk Management professional to lead divisional ERM activities in a dynamic, client-focused environment.

The role requires cross-functional collaboration with risk owners and senior leaders to identify, assess, and mitigate risks across the organization. Commutable to Tempe, AZ office; in-office schedule may apply three days per week for those near Tempe or St. Louis home offices.

Qualifications

• 5+ years of financial services industry experience with a preference for compliance risk, ethics, conduct risk, analytical and/or core strategy work.
• Bachelor's degree.
• Knowledge of risk management, ethics, controls and reporting frameworks.
• Demonstrated experience and comfort communicating strategy, plans and results to senior leadership.
• Series 7 required within 6 months of start date.

Responsibilities

• Oversee and manage the divisional integration and implementation of the Enterprise Risk Management Program.
• Partner with risk owners and stakeholders on issue/incident management, control effectiveness, and risk assessment support.
• Ensure the integrity, completeness, accuracy, and timeliness of risk data and execute risk programs.
• Provide leadership with recommendations for enhancements to divisional risk execution and ERM Program.
• Monitor high-risk items and escalate overdue actions to divisional leadership; ensure remediation documentation.
• Use GRC tools to evidence review, approvals, KRIs and reporting for divisional governance.
• Assist leadership in reporting and analyzing results for risk forums; participate in risk forums as needed.
• Identify emerging risk concerns and develop a KRI inventory, reporting, and alignment with ERM on risk levels.

Skills

Financial services experience

Compliance risk

Ethics and conduct risk

Analytical and strategic thinking

Leadership communication to senior mgm

Education

Bachelor's degree

Tools

GRC tools

Job description

This job posting is anticipated to remain open for 30 days, from 03-Nov-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.

What You’ll Do:

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. This role is a leader of individual contributors.

Here are a few of the key responsibilities:

• Responsible for day-to-day oversight and management of the divisional integration and implementation of the Enterprise Risk Management Program as well as any divisional required elements.

• Partners with business risk owners and stakeholders in issue/incident management, control effectiveness, and risk assessment support for critical business processes, new products/ initiatives, and identified risks outside of firm risk appetite.

• Seeks to ensure the integrity, completeness, accuracy, and timeliness of risk data, in addition to executing risk programs.

• Provides leadership with recommendations for enhancements to overall divisional risk execution and ERM Program.

• Monitors risk management procedural requirements for open high risks and ensures past due action plans are escalated to divisional leadership. Ensures evidence and remediation documentation is adequate and challenges business risk owners on action plan effectiveness.

• Uses GRC tools to evidence review and approvals as well as monitoring KRIs and generating reporting for divisional governance. Engages with ERM on tool framework elements and enhancements.

• Assists leadership in developing reporting and analyzing results for inclusion in divisional risk forums. May lead or participate in 1st and 2nd LOD risk forums and share information with divisional leadership.

• Identifies and reviews emerging risk concerns and provides early warning on key risks with divisional leadership. Works to develop a KRI inventory, reporting, monitoring and gaining alignment with ERM on risk levels and tolerances.

What You’ll Need:

• 5+ years of financial services industry experience with a preference for compliance risk, ethics, conduct risk, analytical and/or core strategy work

• Bachelor's degree

• Knowledge of risk management, ethics, controls and reporting frameworks

• Demonstrated experience and comfort communicating strategy, plans and results to senior leadership.

• Series 7 required within 6 months of start date

What Could Set You Apart:

• Previous leadership experience

• Advanced Degree in Business, Accounting, Finance, Economics or Analytics

• CPA

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.

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) .