Senior Risk Manager – Investment Advisory – Investment Advisory Risk

Job Description

Senior Risk Manager – Investment Advisory | Edward Jones

The Tone:
This is a hybrid role at Edward Jones, located in Tempe, AZ or St. Louis, MO. Edward Jones is a Fortune 500, privately-owned financial services firm focused on its 9 million clients and 20,000 financial advisors across the U.S. and Canada. The firm’s purpose is to partner for positive impact, improving the lives of clients and colleagues, and bettering communities and society. This role is critical as it serves as a trusted risk advisor, managing risks associated with the firm’s investment advisory activities and product offerings to ensure stability and support the Enterprise Risk Management Framework.

The TL;DR
• Role: Individual Contributor
• Location: Hybrid – Tempe, AZ, USA and St. Louis, MO, USA

• Team: Wealth Management and Field Management (WMFM) 1st Line Risk Team
• Mission: Serve as a trusted risk advisor and partner, managing risks associated with the firm’s investment advisory activities and product offerings.
• Tech Stack: Microsoft Office, GRC tools

What You’ll Actually Do
• Execute: Manage risk and control activities for the Investment Advisory line of business, aligning with the Enterprise Risk Management (ERM) Program and divisional requirements.
• Manage: Oversee issue and incident management, critical business process inventorying and mapping, and conduct risk assessments for existing operations, new projects, and strategic initiatives.
• Advise: Provide guidance to the team on divisional processes, historical risk results, firm policies, programs, and all ERM Program Framework and Standards.
• Partner: Collaborate with Business Owners to ensure policies, standards, and procedures meet ERM requirements, and support Business Risk Owners in evaluating remediation strategies and control enhancements.
• Monitor: Review emerging risk concerns, provide early warning of key risks to divisional leadership, and develop, inventory, and report on Key Risk Indicators (KRIs).

The Must-Haves
• Background: Bachelor’s degree with 5+ years of experience in risk management and/or audit, focusing on financial services, specifically within trading, wealth management, asset management, investment advisory, and/or financial planning.
• Experience: Demonstrated ability to independently identify, prioritize, monitor, communicate, and resolve issues, including root cause analysis.
• Skills: Strong analytical, problem-solving, and systems thinking capabilities; strong written and verbal communication skills tailored to various audiences; experience building relationships and networks across organizational levels; proficiency with Microsoft Office and GRC tools.
• Bonus: FINRA Series 7 license or the ability to acquire it within 12 months of hiring.