Senior Risk Manager – Financial Planning

Job Description

Senior Risk Manager – Financial Planning | Edward Jones

The Tone:
This is a hybrid role at Edward Jones, with expected work in the office four days per week for candidates within commutable distance from Tempe, AZ or St. Louis, MO. Edward Jones is a privately-owned Fortune 500 financial services firm, focused on clients over shareholder returns, aiming to partner for positive impact and improve lives. This role is crucial in identifying, assessing, managing, and elevating risks across wealth management and field management organizations, specifically for the firm’s financial planning activities and offerings, ensuring robust risk management and compliance with enterprise frameworks.

The TL;DR
• Role: Full Time
• Type: Full-time
• Location: Hybrid – Tempe, AZ

• Team: The Wealth Management and Field Management (WMFM) 1st Line Risk Team, serving as a trusted risk advisor and partner.
• Mission: Manages risks associated with the firm’s financial planning activities and offerings.
• Tech Stack: Microsoft Office, GRC system

What You’ll Actually Do
• Manage Risk Program Activities: Execute risk and control activities for the Financial Planning line of business in alignment with the Enterprise Risk Management (ERM) Program and divisional requirements.
• Conduct Risk Assessments: Manage issues and incidents, maintain critical business process inventories and mapping, and perform risk assessments for existing operations, new projects, and strategic initiatives.
• Advise & Partner: Advise the team on divisional processes, historical risk results, firm policies and programs, and the ERM Program Framework, partnering with Business Owners to ensure policy alignment and evaluate remediation strategies.
• Execute Risk Mitigation: Drive risk management requirements for open high risks, including root cause analysis, action plan development, evidence, and remediation documentation, while supporting and challenging risk owners on action plan effectiveness.
• Monitor & Report Risks: Identify and communicate emerging risk concerns, provide early warning of key risks to divisional leadership, develop and report on Key Risk Indicators (KRIs), and use a GRC system for documentation and analysis.

The Must-Haves
• Background: Bachelor’s degree required. This is a senior-level individual contributor role focused on risk management within financial planning.
• Experience: 5+ years of risk management and/or audit experience is required. Experience in financial services, specifically trading, wealth management, asset management, investment advisory, and/or financial planning is necessary. A FINRA Series 7 license is required or must be obtained within 12 months of hire.
• Skills: Strong analytical, problem-solving, and systems-thinking skills, with the ability to independently identify, prioritize, monitor, communicate, and resolve issues, including root cause analysis. Strong written and verbal communication skills, with the ability to tailor communication to the audience. Experience building relationships and networks across varying levels of an organization. Proficiency with Microsoft Office and GRC tools.