21 days old

Sr Compliance Officer-Marketing (Remote Work Eligible)

Edward D. Jones & Co., L.P (HO)
Mississauga, ON L5B Work Remotely
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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.
Responsible to the Director, Compliance, the Sr Compliance Officer-Marketing is responsible for identifying and implementing strategies intended to mitigate the firm's regulatory and financial risks related to all marketing materials, including, but not limited to social media, advertising materials both at the firm level and for individual advisors, correspondence and advisor profiles. The Sr Compliance Officer-Marketing is additionally responsible for the development, implementation, ongoing supervision and management of the Marketing Approvals program to meet internal standards and regulatory requirements and expectations. This key role will develop a program that advocates for a strong partnership between marketing, compliance and the Financial Advisors in the field.
Primary activities include:

* Marketing Materials Review
* Supervisory functions related to:
* the review of advisor led advertising and correspondence for use on social media platforms as well as mail, e-mail, video materials with the authority to approve and/or reject requests
* the review of marketing led firm wide initiatives, including materials to be made available to advisors on a pre-approved for use platform.

* Identification of potential issues and/or trends and patterns and effectively addressing observations and compliance concerns with appropriate stakeholders, as deemed necessary.
* Provision of comprehensive regulatory guidance and advice, monitoring for regulatory changes to policy or guidance, interpretations, and support to business partners, branch teams, and stakeholders by educating on internal requirements and regulatory expectations.
* Collaboration with marketing team at the materials development stage to provide appropriate early-stage guidance.


* Social Media and Marketing, Advertising and Correspondence - Monitoring and Retention
* Compliance monitoring, assessment and reporting of compliance risks related to our associates production and use of social media and marketing materials.
* Partnership with other departments to develop strategic and efficiency related processes for the monitoring and retention of these materials, including the use of electronic surveillance.
* Maintenance of all marketing related approvals and compliance reviews, including incidents of non-compliance and their resolution. Reporting to the Director responsible for the Compliance division with the identification of any trending risks.
* Provision of strategic guidance and direction to all levels of leaders and associates on the development and use of social media platforms,marketing requirements, and regulatory changes and best practices, including the development of in person and virtual training sessions as needed.



* Marketing Compliance Program Development
* Promotion of a culture of compliance and ethical behaviours
* Proactive planning, develoment, monitoring, revision of the marketing compliance program, including compliance policies and procedures related to marketing materials.
* Development, implementation, and maintenance of marketing compliance policies, procedures, practices that are designed to promote ethical practices and mitigate risk
* Development of a marketing-centric training and development program for advisors at all stages to maximize their understanding of the requirements as they build their business.
* Development, delivery and promotion of education and awarness programs geared to all associates.
* Keeping abreast of regulatory efforts and developments related to the management and retention of marketing materials, social media and advertising surveillance best practices and regulatory changes expected in these areas and effectively sharing this information with all stakeholders
* Participation in and leading of special marketing initiative projects from concept to completion



* Bachelor's degree preferred or relevant work experience required
* Must have completed your CSC and CPH
* 7+yrs securities industry with a minimum of 3 yrs in a Compliance capacity experience required
* Experience with both an Investment Industry Regulatory Organization of Canada (IIROC) member investment dealer and an investment fund manager is strongly preferred
* Demonstrated knowledge of and ability to interpret and apply relevant securities inudstry rules and regulations, in particular but not limited to IIROC Rule 3603 (formerly rule 29.7) and NI 31-103.

* Demonstrated ability to analyze and resolve complex matters
* Exceptional judgment with demonstrated ability to appropriately assess risk in complex matters
* Strong verbal and written communication skills, with a demonstrated ability to influence key internal and external stakeholders, including senior leadership
* Bi-lingual English and French would be an asset
* Excellent project management, organizational and prioritization skills in a deadline-driven environment


* FORTUNE 2020 Edward Jones was named No. 7 on the 2020 FORTUNE 100 Best Companies to Work For list.
* From FORTUNE 2020 FORTUNE Media IP Limited. All rights reserved. Used under license. FORTUNE and FORTUNE 100 Best Companies to Work For are registered trademarks of Fortune Media IP Limited and are used under license. FORTUNE and Fortune Media IP Limited are not affiliated with, and do not endorse products or services of, Edward Jones Investments.

* Edward Jones Ranked No. 6 of the 100 best workplaces for millennials by Great Place to Work and FORTUNE Magazine.
* 2020 Corporate Equality Index Edward Jones joins the ranks of 680 major U.S businesses that received top marks in the HRC Foundations 18th Annual Scorecard on LBGTQ Workplace Equality
* Edward Jones named a top company for training, ranking No. 25 on Training magazine's 2020 Training Top 125 list the highest ranking among the financial-services industry!
* Financial services firm Edward Jones has been named one of the 2019 Best Workplaces for Parents by Great Place to Work and FORTUNE magazine. The firm ranked No. 5 on the list of 50 companies, up two spots from last year.
* The Best Workplaces for Parents list is one of a series of rankings by Great Place to Work and FORTUNE based on employee feedback from Great Place to Work-Certified organizations. Edward Jones ranked No. 7 on the FORTUNE 100 Best Companies to Work for in 2019 list, the firms 20th appearance on the list. The firm also was ranked the No. 1 Best Workplace in Financial Services & Insurance and the No. 6 Best Workplace for Millennials by Great Place to Work and FORTUNE.


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.
Posted: 2021-05-24 Expires: 2021-07-15
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Sr Compliance Officer-Marketing (Remote Work Eligible)

Edward D. Jones & Co., L.P (HO)
Mississauga, ON L5B

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