Team Overview:
The Team Leader, Regulatory, Controls & Policy Governance Assurance, leads a team responsible for the execution, oversight, and continuous improvement of regulatory compliance, technology control assurance, and policy and standards governance within the first line of defense (1LOD).

This role ensures that technology risks, controls, policies, and standards are identified, designed, implemented, monitored, and remediated in alignment with regulatory expectations, internal governance frameworks, and the firm’s risk appetite. The role partners closely with Technology, Domain Risk Management, Legal, Compliance, Internal Audit, and external regulators, while retaining clear first line ownership and accountability.
What You'll Do:
Regulatory & Controls Leadership

• Lead technology risk and control assurance activities, including control operating effectiveness (OE) testing, and engage Domain Risk Managers on findings requiring Issues and Action Plans.
• Coordinate timely responses to regulatory and third-party inquiries, partnering with business stakeholders to obtain required evidence and artifacts.
• Serve as the first-line owner for technology regulatory inquiries and controls assurance, ensuring risks are managed within established tolerance levels.
• Engage in SOX ITGC audits, including control testing, issue identification, remediation oversight, reporting, and escalation management.

• Align team activities with the enterprise risk management framework and regulatory strategy.
• Own and govern technology risk policies, standards, procedures, and supporting documentation.
• Manage the end-to-end policy lifecycle, including development, review, approval, exception management, updates, and retirement.
• Ensure policies and standards remain aligned with evolving regulatory, business, and technology requirements.
• Lead regulatory exam preparation, controls assurance activities, and third-party reviews.
• Escalate control weaknesses, policy gaps, and risk issues, partnering with Domain Risk Managers to drive root-cause analysis and remediation.

• Lead, coach, and develop teams responsible for regulatory assurance, control testing, and policy governance.
• Provide ongoing performance feedback, mentorship, and career development support.
• Build organizational depth through succession planning and development of regulatory, risk, and policy expertise.

• Foster strong partnerships across Technology, Business, Risk Management, Compliance, and Internal Audit.
• Influence stakeholders to address risk and control issues while reinforcing first-line accountability.

• Enhance the control testing program through automation and Continuous Controls Monitoring (CCM) to improve efficiency and audit readiness.
• Standardize regulatory response processes and strengthen exam readiness capabilities.
• Continuously improve Policy & Standards Governance processes to maintain alignment with regulatory requirements.
• Leverage data, automation, and metrics to improve effectiveness, efficiency, and reporting.
• Ensure effective stewardship of financial and staffing resources.

• Bachelor’s degree or equivalent experience.
• 5 years of experience in technology risk, regulatory compliance, audit, controls assurance, or policy governance.
• Minimum 1 year in a leadership or people management role.
• Experience operating in a first line of defense is strongly preferred.

• Strong understanding of technology risk frameworks, policy governance and internal controls.
• Knowledge of regulatory expectations for technology and cyber risk.
• Strong experience with execution of SOX ITGC Audits.
• Strong judgment, analytical, and communication skills.

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.