1+ months

Field Supervision Director - Client Protection

St Louis, MO 63103
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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.
Do you enjoy putting pieces jointly to know the bigger picture and partnering to solve complex issues? If so, there is an exciting career opportunity waiting for you in our Field Supervision Department!

Description: The Field Supervision Department plays a critical role in achieving the Compliance Division's purpose of promoting our client's best interests and judgments by partnering to improve our culture of compliance and enable the best experience for all. Our associates are our greatest asset, and the opportunity to increase our client impact is related to our success in attracting, retaining, and developing a talented and diverse workforce.

The Senior Client Protection Field Supervision Director monitors and supervises the activity of senior client accounts to identify and mitigate potential exploitation. This includes matters related to credible contacts, diminished capacity, senior fraud, and other types of financial abuse. Reviews may be focused on specific client situations as well as branch team trends related to senior clients. The SCP FSD also engages with external resources that help senior client protection in the community such as Adult Protective Services (APS), State Securities Regulators, and Law Enforcement.

Key Responsibilities:

Partner with branch teams and other Field Supervision Directors to help them in protecting senior clients and to serve as a subject matter professional.

Conduct timely and thorough reviews of senior client cases to identify potential risks associated with diminished capacity or exploitation, taking appropriate action(s) to resolve the matter.

Identify and evaluate branch team trends related to senior client activity that may warrant more action.

Coach and educate branch teams on mitigation strategies and best practices for complex senior client matters.

Routinely contact senior clients and/or other authorized parties to discuss concerning activity within their account.

Seek new methods, tools, and techniques to identify and resolve senior client exploitation matters.

Thoroughly document senior client case matters to enable data research and identification of potential trends.

Work in partnership with internal business areas such as legal, financial risk prevention and client complaints.

Remain current on industry rules, scam/fraud techniques, and educational resources related to senior client protection.

Develop resources and build relationships to promote and integrate senior client protection into firm training and tools.
Series 7 license required that is current and held for a minimum of two years

Applicant must currently have either Series 9/10, or 24 supervisory licenses for consideration

Series 9/10, 24, and 66 licenses are required or must be obtained within 4 months of hire

Preferred Requirements:

Insurance license

General knowledge of compliance or industry experience

Bachelor's degree in business-related field


* 100 Best Workplaces for Millennials in 2022, published Fortune July 2022, Great Places to Work data as of March 2022. Compensation provided for using, not obtaining, the rating.
* Edward Jones was recognized as one of the Best Workplaces for Millennials by Great Places to Work and Fortune magazine. The privately held firm ranked No. 2 overall, in its fourth appearance on the list.

* 2022 Fortune Best Workplaces for Women, published September 2022, research by Great Places to Work, data as of August 2021. Compensation provided for using, not obtaining, the rating.
* Edward Jones has been named to the 2022 Best Workplaces for Women list by Great Places to Work and Fortune magazine, ranking No. 45.

* 2022 Fortune's 100 Best Companies to Work For, published April 2022, research by Great Place to Work, data as of August 2021. Compensation provided for using, not obtaining, the rating.
* For the 23rd time, Edward Jones has earned a spot on the Fortune 100 Best Companies to Work For ranking by Great Places to Work and Fortune magazine. Edward Jones ranked No. 35 on the prestigious 2022 list.
* 2022 Best Places to Work For LGBTQ+ Equality, Great Place to Work in partnership with Human Rights Campaign Foundation, published Equity Magazine January 2022, data as of July 2021. Compensation provided for using, not obtaining, the rating.
* Edward Jones scored 100 percent on the Human Rights Campaign Foundation's 2022 Corporate Equality Index (CEI) the nation's foremost benchmarking survey and report measuring corporate policies and practices related to LGBTQ+ workplace equality. The ranking designated Jones as one of the best places to work for LGBTQ+Equality.



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.
At Edward Jones, we value and respect our associates and their contributions, and we recognize individual efforts through a rewards program that promotes a long-term career, financial security and well-being. [Visit our career site](https://careers.edwardjones.com/compensation-and-values/) to learn more about our total compensation approach, which in addition to base salary, typically includes benefits, bonuses and profit sharing. The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors for a potential new associate:

Industry

  • Banking / Finance
Posted: 2022-10-28 Expires: 2023-01-07

Edward Jones serves nearly 7 million investors from more offices than any other investment firm in America. We attribute a great deal of our success to our principles and personal, long-term approach to investing.

We have consistently been ranked among the best companies to work for by FORTUNE magazine, and our employees tend to stay with us for years. As a privately owned company, Edward Jones has a very personal feel that’s almost like family. And we’re very proud of that.

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Field Supervision Director - Client Protection

Edward D. Jones & Co., L.P
St Louis, MO 63103

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