1+ months

Field Supervision Officer II, Compliance

Edward D. Jones & Co., L.P (HO)
Tempe, AZ 85281
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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 14,000+ branch offices where our more than 7 million clients live and work.

A typical branch office has one financial advisor who meets with clients face-to-face and one branch office administrator who enhances the team's ability to build deep relationships with clients. Headquarters associates in St. Louis and Tempe provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. Edward Jones currently has more branch offices than any other financial services firm, and we continue to grow to meet the needs of long-term individual investors.
The Field Supervision Department plays a critical role in achieving the Compliance Division's mission of promoting our clients' best interest while helping to ensure the firm remains in compliance with industry rules and regulations. Supervisory responsibilities of the firm's branch offices are handled by teams in this department, which are centralized in the St. Louis and Tempe home offices.
Compliance Field Supervision Officers (FSOs) utilize extensive electronic processing systems and exception reports to complete work and provide support to branch offices regarding client activity, firm policies, and industry regulations.
* Responsible for the review of non-supervisory and basic supervisory client and branch activity in order to identify potentially fraudulent or manipulative activity.
* Responsible for the review of electronic communication surveillance activity for branch teams and home office associates
* Conduct routine and semi-complex client contacts to verify account information and accuracy
* Identify trends and patterns in branch activity to determine if follow-up or escalation is required to an FSD or another area of Compliance
* Educate and communicate potential concerns or, on occasion, supervisory issues to clients, Financial Advisors and home office associates
* Develop and deliver training, coaching and feedback to FSO I
* Contribute to team project work including testing
* Work in collaboration with internal business areas


* Series 7 license that is currently active and has been held a minimum of one year

* Must obtain Series 9, 10, 24, and 66 within 6 months of hire

* Insurance license is preferred

* General understanding of compliance or supervisory issues preferred

* One to two years of compliance or industry experience is preferred

* Ability to make reasonable decisions in a timely manner

* Excellent verbal and written communication skills

* Ability to work in a dynamic fast paced environment

* Demonstrate strong conflict management and problem solving skills

* Bachelor's degree or equivalent experience preferred, but not required


For the 19th year, Edward Jones was named one of the 100 Best Companies to Work For by FORTUNE magazine in its annual listing. The firm ranked No. 5 overall. These 19 FORTUNE rankings include top 10 finishes for 15 years, top 5 rankings for eight years and consecutive No. 1 rankings in 2002 and 2003.

From FORTUNE Magazine, February 15, 2018 2018 Time Inc. Used under license. FORTUNE and Time Inc. are not affiliated with and do not endorse products or services of Edward Jones.
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:
Posted: 2021-07-14 Expires: 2021-11-25
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Field Supervision Officer II, Compliance

Edward D. Jones & Co., L.P (HO)
Tempe, AZ 85281

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