Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.

　　Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is working to make the firm better together - as they grow as individuals. If these words resonate with you, we should talk.

　　Job Overview

　　Position Schedule: Full-Time

　　The Compliance Oversight department is seeking a highly qualified Compliance professional to fill the role of Risk Manager.

　　The Risk Manager is responsible for compliance supervisory control system functions, which is a second-line risk function that ensures compliance with laws and regulations and mitigates adverse regulatory impact to the firm. The Risk Manager works in partnership with associates and leaders throughout the organization. Key responsibilities include performing control testing and monitoring and reporting on supervisory controls testing results to key stakeholders.

　　Key Responsibilities

　　Perform testing to ensure appropriate firm controls are in place and executed to address identified regulatory risks including, but not limited to, testing over Written Supervisory Procedures (WSPs) and Regulatory Books and Records (B&Rs), including the related analysis of impacted rules and regulations

　　Perform additional key processes within the department, including but not limited to monitoring emerging rules and regulations and performing and participating in the annual WSP test plan assessment

　　Advise key stakeholders on identifying, mitigating and monitoring regulatory risks through developing controls and determining the quality and effectiveness of control design

　　Provide guidance to business process owners on performing and documenting supervisory reviews through reporting and remediation of controls testing as well as consultation on WSPs

　　Participate in strategic planning to determine department priorities, objectives and projects

　　Identify and execute project tasks for key project initiatives in the department and co-lead projects

　　Problem Solving:

　　This associate will have latitude in interpreting regulation and assisting business areas in application to their processes

　　Resolves complex issues through interpretation and application of industry regulations and firm business practices

　　Position must utilize problem solving skills on a daily basis in order to make judgments and assess risks associated with potential lapses in supervisory control effectiveness by analyzing multifaceted issues of a non-routine nature, gathering facts about the issue and identifying and utilizing available firm resources

　　Decision Making:

　　Very few decisions have a well-defined decision path to follow

　　This position operates with a high degree of autonomy

　　Medium level of authority

　　Span of Influence:

　　This position's impact touches virtually every area of the firm, therefore the span of influence and degree of risk associated with the role is high

　　Risk of non-compliance can extend to regulatory sanctions, fines and reputational issues

　　If mishandled, situations can lead to loss of credibility with clients and/or regulators, and therefore, have limitless duration

　　Misinterpretation of regulations and/or failure to appropriately apply them could result in litigation, arbitrations or regulatory enforcement extending over several years

　　Involved in the creation, evaluation, and assessment of processes and procedures throughout the firm, including Canada

　　The position has no direct people leadership responsibilities

　　At Edward Jones, we value and respect our associates and their contributions, and we recognize individual efforts through a rewards program that promotes a long-term career, financial security and well-being. Visit our career site to learn more about our total compensation approach, which in addition to base salary, typically includes benefits, bonuses and profit sharing. The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors for a potential new associate:

　　Hiring Minimum: $70659

　　Hiring Maximum: $116516

　　Skills/Requirements

　　SIE, Series 7, 24 and 66 registrations required within 24 months of employment

　　Minimum 3+ years in a securities industry, consulting, regulatory, risk management or auditing function required; comprehensive knowledge of process analysis and control design techniques preferred

　　Comprehensive understanding of industry rules, regulations and acceptable business practices, as well as a strong knowledge of the firm's supervisory systems and policies

　　Ability to interpret emerging regulatory risk, identify and respond to the impact on various firm products and processes

　　Ability to identify, prioritize, monitor, communicate, and/or resolve issues

　　Must have strong leadership and interpersonal skills to maintain good working relationships with the team and business areas

　　Must have excellent time management, organizational, critical thinking as well as written and verbal communication skills

　　Demonstrates ability to work in a highly collaborative team environment by incorporating effective listening and collaboration skills

　　Proficiency in spreadsheets, databases, and other software programs

　　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.

　　Awards & 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

　　Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones

　　About Us

　　Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 8 million clients and 19,000 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 2023, data as of December 2022. Compensation provided for using, not obtaining, the rating.

　　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.

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