Team Leader- Risk & Control

Edward Jones

8d

About The Position

The Team Leader- Risk & Control oversees and manages divisional execution of the firm's Enterprise Risk Management (ERM) framework and related divisional requirements. The role leads individual contributors and supports risk identification, assessment, mitigation, monitoring, reporting, and escalation across business activities.

The position partners with business risk owners and stakeholders to support issue and incident management, assess control effectiveness, and review risks affecting critical business processes, new products and initiatives, and matters outside the firm's risk appetite. It supports the quality and timeliness of risk data and program execution, recommends enhancements to divisional risk practices, and monitors action plans for high risks, escalating overdue plans and challenging remediation effectiveness.

The role uses governance, risk, and compliance (GRC) tools to document reviews and approvals, monitor key risk indicators (KRIs), and produce governance reporting. It also supports divisional risk forums, identifies emerging risks, and works with ERM and divisional leadership to develop KRI inventories, monitoring, reporting, risk levels, and tolerances.

Associates who live within commuting distance of the Tempe, Arizona, or St. Louis, Missouri, home offices are expected to work onsite three days per week, preferably Tuesday through Thursday.

Requirements

• At least 5 years of financial services industry experience.
• Bachelor's degree.
• Knowledge of risk management, ethics, controls, and reporting frameworks.
• Demonstrated experience and comfort communicating strategy, plans, and results to senior leadership.
• Series 7 required within 6 months of the start date.

Nice To Haves

• Experience in compliance risk, ethics, conduct risk, analytics, and/or core strategy.
• Previous leadership experience.
• Advanced degree in Business, Accounting, Finance, Economics, or Analytics.
• CPA.

Responsibilities

• Oversee and manage divisional integration and implementation of the Enterprise Risk Management Program and any required divisional elements.
• Partner with business risk owners and stakeholders on issue and incident management, control effectiveness, and risk assessment for critical business processes, new products and initiatives, and risks outside the firm's risk appetite.
• Support the integrity, completeness, accuracy, and timeliness of risk data while executing risk programs.
• Recommend enhancements to divisional risk execution and the ERM Program.
• Monitor procedural requirements for open high risks, escalate past-due action plans to divisional leadership, assess supporting evidence and remediation documentation, and challenge business risk owners on action plan effectiveness.
• Use GRC tools to document reviews and approvals, monitor KRIs, and generate reporting for divisional governance; engage with ERM on tool framework elements and enhancements.
• Assist leadership with developing reporting and analyzing results for divisional risk forums; lead or participate in first- and second-line-of-defense risk forums and share information with divisional leadership.
• Identify and review emerging risk concerns and provide early warning about key risks to divisional leadership.
• Develop a KRI inventory, reporting, and monitoring, and align with ERM on risk levels and tolerances.

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
• Basic life and basic AD&D coverage
• 401(k) retirement plan
• Health savings account
• Flexible spending account
• Ten paid holidays
• 15 days of vacation for new associates beginning on January 1 of each year
• Sick time and personal days
• Paid day for volunteerism
• Potential bonuses and profit sharing
• Employee Assistance Program

What This Job Offers

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