14 days old

Sr. Compliance Officer (St. Louis or Tempe)

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

The Sr. Compliance Officer on the Asset and Electronic Field Supervision Team will be responsible for completing supervisory reviews of client and branch activity involving electronic communications and asset movement. A key responsibility will be effectively managing and leading department efforts related to social media as well as other forms of communication with the public. The ideal candidate must be able to initiate department improvements and informally lead associates through projects and/or change.

Key Responsibilities:

* Effectively manage and lead department efforts related to social media, emails, and other forms of communication with the public
* Broad responsibility to deal with situations involving communications with the public, customer accounts, or firm policies, procedures and controls. Impact of incorrect or inaccurate information could result in potential for customer complaint, arbitration, or regulatory risk/liability.
* At the Senior level, the Compliance Officer deals with firm programs. Risk of non-compliance can extend to sanctions and fines. On a situational basis, Sr. COs investigate and resolve issues that could impact a Financial Advisor and/or firm policies and procedures, and are reportable to the regulators.
* Identify trends and patterns in branch activity to determine if follow-up or escalation is required to FSD or another area of Compliance or additional process improvements are needed
* Coach, educate and communicate potential concerns or supervisory issues to team members, clients, Financial Advisors and home office associates
* Develop and deliver training, coaching and feedback to FSO I, II, III
* Lead projects/testing, and act as a subject matter expert
* Work in collaboration with internal business areas within the firm
* Assist with oversights, monitoring and assignment of workflow


* 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.
* Comprehensive knowledge and understanding of industry rules and regulations and supervisory issues
* 5+ years securities industry experience with minimum 3+ years in a compliance capacity strongly preferred
* Ability to interpret emerging regulation, identify and respond to the impact on Edward Jones products and processes
* 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


* 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.
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: 2021-06-11 Expires: 2021-07-26
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Sr. Compliance Officer (St. Louis or Tempe)

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

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