What are the responsibilities and job description for the Risk Manager - Investment Advisory position at Edward Jones?
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.
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.
The Risk Manager – Investment Advisory partners with stakeholders in the Wealth Management Advice & Solutions (WMAS) division to manage the risks associated with the Investment Advisory program. 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.
- Responsible for carrying out risk and control activities per the Enterprise Risk Management Program as well as any divisional-required elements.
- Primary focus includes issue management, incident management, critical business process mapping/inventorying and risk assessment support.
- Understands division processes, historical risk results, firm policies/programs including all Enterprise Risk Management Program Framework and Standards.
- Identifies inconsistencies with ERM Risk Management Program or internal standards.
- Stays informed on risk industry and educational/development opportunities.
- Executes risk management procedural requirements for open high risks including root cause analysis, action plan development, evidence, and remediation documentation including supporting business risk owners.
- Uses GRC to document risk issues and assessment data.
- Provides insights to leadership for potential consideration in risk forums.
- Escalates emerging risk concerns and provides early warning on key risks to divisional leadership.
- Executes training and assists divisional associates in understanding the Enterprise Risk Management Program.
- Bachelor's degree required.
- 2-4 years of risk management experience required.
- Series 7 required or attainable within twelve months of hire
- Experience in financial services, specifically investment advisory.
- Experience in controls documentation and assessment.
- Experience in process mapping and documentation.
- Experience with Microsoft Office and GRC tools.
- Experience in building relationships and networks.
- Strong written and verbal communication skills.
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
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
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.
