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Risk Manager - Compliance at Edward D. Jones

Posted in Legal 30+ days ago.

Type: Full-Time
Location: St. Louis, Missouri

Job Description:

At Edward Jones, we help clients achieve their serious, long-term financial goals by understanding their needs and implementing tailored solutions. To ensure a personal client experience, we have located our 15,000+ branch offices where our more than 7 million clients live and work.

In a typical branch office, a financial advisor meets with clients and receives branch office support, so they can focus on building deep relationships with clients. Headquarters associates in St. Louis, Tempe and Mississauga provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. We continue to grow to meet the needs of long-term individual investors.

The Compliance Oversight department is seeking a highly qualified Compliance professional to fill the role of Risk Manager. 

The Risk Manager is responsible for compliance supervisory control system functions, which is a second-line risk function that ensures compliance with laws and regulations and mitigates adverse regulatory impact to the firm. The Risk Manager works in partnership with associates and leaders throughout the organization. Key responsibilities include performing control testing and monitoring and reporting on supervisory controls testing results to key stakeholders.

  • SIE, Series 7, 24 and 66 registrations required within 24 months of employment

  • Minimum 3+ years in a securities industry, consulting, regulatory, risk management or auditing function required; comprehensive knowledge of process analysis and control design techniques preferred

  • Comprehensive understanding of industry rules, regulations and acceptable business practices, as well as a strong knowledge of the firm's supervisory systems and policies

  • Ability to interpret emerging regulatory risk, identify and respond to the impact on various firm products and processes

  • Ability to identify, prioritize, monitor, communicate, and/or resolve issues

  • Must have strong leadership and interpersonal skills to maintain good working relationships with the team and business areas

  • Must have excellent time management, organizational, critical thinking as well as written and verbal communication skills

  • Demonstrates ability to work in a highly collaborative team environment by incorporating  effective listening and collaboration skills

  • Proficiency in spreadsheets, databases, and other software programs

Candidates that live within in a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday.

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