Risk & Control Associate III

Overview

This role will engage key stakeholders in the Operations division to execute various risk assessment and key report testing requirements. It is responsible for identifying, monitoring, and assessing risks that arise from business resiliency, third party oversight, Sarbanes‑Oxley (SOX), and other regulations and then ensuring that the risks are addressed by Operations business owners through effective processes and controls.

• Oversight of the Operations division's key report testing framework
• Collaborate with key business stakeholders to verify the completeness and accuracy of key reports relied upon by SOX and SEC 17a‑5 controls
• Effective communication and coordination with the firm's independent external auditor
• Work in partnership with risk professionals on Operations and cross‑divisional risk assessments
• Assess process risks and controls for compliance with SOX and SEC 17a‑5 requirements
• Assess process risks and controls for compliance with third party oversight and business resiliency expectations
• Assist in the facilitation of the division's annual business resiliency requirements
• Consult with key stakeholders on internal audit requirements and results
• Assist in development of risk training and education material for business partners.
• Responsible for carrying out risk and control activities per the Enterprise Risk Management Program as well as any divisional‑required elements.
• Understands division processes, historical risk results, firm policies/programs including all Enterprise Risk Management Program Framework and Standards.
• Stays informed on risk industry and educational/development opportunities.
• Executes risk management procedural requirements for open high risks and control deficiencies including root cause analysis, action plan development, evidence, and remediation documentation including supporting business risk owners.
• Executes training and assists divisional associates in understanding the Enterprise Risk Management Program.

• Risk management or audit experience required
• College degree (bachelor's degree preferred)
• Proficiency in Microsoft product suite as well as other software programs and databases
• Ability to effectively execute risk engagements utilizing established risk frameworks

• CPA, CIA, FRM, or other risk certification
• Series 7 or 99
• Experience developing or applying risk frameworks
• Experience using a GRC tool
• Experience in the Brokerage Industry

Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office four days per week effective June 1, 2026. Before June 1, 2026, candidates that live within 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.

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&DD coverage. Short‑ and long‑term disability, basic life, and basic AD&DD 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.

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.