Risk & Control Associate III

Opportunity Overview

This role will engage key stakeholders in the Operations division to execute various risk assessment and key report testing requirements. Responsible for identifying, monitoring, and assessing risks that arise from business resiliency, third party oversight, Sarbanes-Oxley (SOX), and other regulations and then ensuring that the risks are addressed by Operations business owners through effective processes and controls. 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.

Responsibility Summary:

• Oversight of the Operations division's key report testing framework
  • Collaborate with key business stakeholders to verify the completeness and accuracy of key reports relied upon by SOX and SEC 17a-5 controls
  • Effective communication and coordination with the firm's independent external auditor
• Work in partnership with risk professionals on Operations and cross divisional risk assessments
  • Assess process risks and controls for compliance with SOX and SEC 17a-5 requirements
  • Assess process risks and controls for compliance with third party oversight and business resiliency expectations
• Assist in the facilitation of the division's annual business resiliency requirements
• Consult with key stakeholders on internal audit requirements and results
• Assist in development of risk training and education material for business partners.
• Responsible for carrying out risk and control activities per the Enterprise Risk Management Program as well as any divisional-required elements.
• Understands division processes, historical risk results, firm policies/programs including all Enterprise Risk Management Program Framework and Standards.
• Stays informed on risk industry and educational/development opportunities.
• Executes risk management procedural requirements for open high risks and control deficiencies including root cause analysis, action plan development, evidence, and remediation documentation including supporting business risk owners.
• Executes training and assists divisional associates in understanding the Enterprise Risk Management Program.

Position Schedule

Full-Time

EEO Statement

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.

Company Description

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.

Position Requirements

Qualifications Required in the Job:

• Risk management or audit experience required
• College degree (bachelor's degree preferred)
• Proficiency in Microsoft product suite as well as other software programs and databases
• Ability to effectively execute risk engagements utilizing established risk frameworks

What Could Set You Apart:

• CPA, CIA, FRM, or other risk certification
• Series 7 or 99
• Experience developing or applying risk frameworks
• Experience using a GRC tool
• Experience in the Brokerage Industry

Salary Information

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.