Senior Risk Manager - Operations

Edward Jones

1d • Hybrid

About The Position

The Senior Risk Manager supports Customer Loans through risk management, control oversight, audit and exam inquiries, and regulatory readiness activities. The role helps stakeholders identify, evaluate, mitigate, and monitor operational, regulatory, financial, and reputational risks affecting margin and securities-based lending products and servicing operations.

Serving as a subject matter expert in operational risk and business controls, the Senior Risk Manager partners across the firm on projects, process improvements, audits, regulatory initiatives, and business activities that protect clients, the department, and the firm while maintaining operational effectiveness. The role also owns and maintains the Customer Loan Risk Ecosystem, including process maps, risk inventories, controls documentation, and related risk management artifacts.

Candidates who live within commuting distance of the Tempe, Arizona, or St. Louis, Missouri, home offices are expected to work in the office four days per week.

Requirements

• Bachelor's degree; Business, Finance, Accounting, or a related field is preferred.
• SIE and Series 99 required within 120 days of start date in the United States.
• Series 7 required within 12 months of start date in the United States.
• Proficiency in Microsoft Word, Excel, PowerPoint, Visio, and other software applications.
• Ability to independently identify, prioritize, monitor, communicate, and resolve issues.
• Ability to build and maintain effective working relationships with associates, leaders, and business partners across the organization.
• Ability to facilitate discussions about risks, controls, processes, and business issues with a variety of stakeholders.
• Strong analytical, problem-solving, and root cause analysis skills.
• Superior interpersonal and communication skills, including the ability to communicate complex information effectively to leaders, associates, business partners, and vendors.
• Demonstrated ability to work effectively in a collaborative team environment through active listening, partnership, and influencing skills.
• Strong written and verbal communication skills, including preparing documentation, summarizing findings, and presenting recommendations.
• Strong organizational, time management, and prioritization skills, with the ability to manage competing priorities.

Nice To Haves

• Series 7.
• Experience supporting operational risk management, audit, compliance, or regulatory activities.
• Experience with bank-offered securities-based lending products, margin accounts, and cash account trading activities, including credit extension, overdue trade and debit collection activities, and compliance with applicable Regulation T, Regulation U, Federal Reserve, SEC, FINRA, OCC, and FDIC requirements.
• Experience creating and maintaining process maps, controls documentation, procedures, or risk inventories.
• Experience leading projects or participating in cross-functional initiatives.
• Proficiency with Visio, Power BI, or other process mapping and reporting tools.

Responsibilities

• Support regulatory, audit, compliance, and control-related activities, including remediation and corrective-action implementation.
• Prepare and maintain documentation related to risks, controls, procedures, business requirements, and process changes.
• Facilitate risk assessments and control reviews across Customer Loans to identify risks, control gaps, and process vulnerabilities.
• Monitor and analyze operational risk events, error trends, audit findings, and key performance indicators to identify improvement opportunities.
• Conduct root cause analysis and recommend process, control, or system enhancements to reduce risk and improve operational effectiveness.
• Provide operational risk expertise for business initiatives and evaluate their potential impacts.
• Develop and execute testing and validation activities to assess process effectiveness, system functionality, and control performance.
• Collaborate with Operations, Compliance, Risk, Legal, Technology, Product, and Vendor partners on departmental objectives and business initiatives.
• Monitor regulatory developments, business changes, and emerging risks that may affect Customer Loans operations.
• Provide guidance and share knowledge with associates about risk management principles, controls, and operational best practices.
• Develop and maintain expertise in Customer Loans products, operational processes, the risk framework, and regulatory requirements.
• Own and maintain the Customer Loan Risk Ecosystem, keeping process maps, risk inventories, controls documentation, and related risk management artifacts current, accurate, and aligned with business operations.
• Partner with leaders and stakeholders to assess risks, influence effective controls, and promote adherence to risk management, compliance, and governance requirements.
• Influence operational decisions through risk analysis, recommendations, and subject matter expertise.
• Recognize and escalate issues that may cause client impact, financial exposure, compliance concerns, or regulatory risk.
• Provide guidance and support to associates, business partners, and project teams.

Benefits

• Medical and prescription drug coverage.
• Dental insurance.
• Vision insurance.
• Voluntary benefits, including accident, hospital indemnity, and critical illness coverage.
• Short- and long-term disability coverage, provided at no cost to associates.
• Basic life and basic AD&D coverage, provided at no cost to associates.
• 401(k) retirement plan.
• Health savings account.
• Flexible spending account.
• Ten paid holidays.
• 15 days of vacation for new associates beginning January 1 each year.
• Sick time and personal days.
• Paid day for volunteerism.
• Associates may be eligible for bonuses and profit sharing.
• Employee Assistance Program.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior