Senior Risk Manager, Compliance Testing

Team Overview
Join a team that is building and evolving a new targeted compliance testing function focused on identifying and mitigating regulatory and compliance risks across the firm. As a Senior Risk Manager, Compliance Oversight, you will play a key role in shaping a risk-based testing program that goes beyond routine reviews providing oversight of key compliance risks across the firm through thematic and forward-looking testing. This is an opportunity to influence compliance oversight strategy, drive innovation in testing methodologies, and help strengthen the firm's overall risk management framework within the second line of defense.
What You'll Do
In this role, you will lead the execution and ongoing development of a targeted compliance testing program designed to evaluate high-risk areas across the organization.  You will work across the enterprise to validate adherence to applicable regulatory requirements and ensure process and controls in place comply with applicable rules and mitigate risk inherent with non-compliance. You will also provide independent oversight, challenge, and deliver meaningful insights that support sound risk management and regulatory compliance.
Here are a few of the Key Responsibilities:

• Lead and execute targeted compliance testing activities across high-risk areas, applying risk-based methodologies and established testing standards.
• Assess the design and operating effectiveness of controls, policies, procedures, and business processes that support regulatory compliance obligations.
• Analyze testing results to identify control gaps, trends, root causes, and systemic compliance risks, and develop recommendations for remediation.
• Provide independent challenge of business practices, control environments, and corrective action plans to ensure identified risks are appropriately addressed.
• Support the enhancement of the firm's targeted testing framework, including methodologies, standards, procedures, and governance practices.
• Partner with stakeholders to identify, track, and validate remediation activities and sustainable control improvements.
• Contribute to the design and implementation of technology-enabled testing solutions, reporting capabilities, and data-driven testing approaches.
• Prepare and deliver reporting and presentations for senior leadership on key testing results, emerging risks, and compliance trends.
• Lead departmental initiatives and projects related to regulatory change, risk coverage, testing strategy, and continuous improvement efforts.

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.

• Bachelor's degree required.
• 6+ years of experience in financial services, compliance testing, compliance oversight, risk management, internal audit, regulatory compliance, or related functions.
• Strong knowledge of regulatory compliance frameworks, risk management practices, control design, and testing methodologies.
• Experience conducting compliance testing, control assessments, regulatory reviews, or risk-based oversight activities within the financial services industry.
• Experience identifying regulatory risks and evaluating the effectiveness of policies, procedures, controls, and business processes.
• Demonstrated experience developing, enhancing, or executing testing frameworks, methodologies, governance programs, or compliance monitoring activities.
• Proficiency with data analysis, reporting tools, and technology-enabled testing solutions; experience with governance, risk, and compliance (GRC) platforms is preferred.
• FINRA Series 7 and Series 66 licenses, or the ability to obtain required licensing within 24 months of hire.