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Edward Jones Compliance Field Supervisor - Field Supervision - St. Louis, MO in United States

37224BR

Job Title:

Compliance Field Supervisor - Field Supervision - St. Louis, MO

Opportunity Overview:

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 Supervisors, also known as Field Supervision Directors, are registered principals with supervisory responsibility over assigned branch offices. Compliance Field Supervisors utilize extensive electronic processing systems and exception reports to complete the supervision of and provide support to branch offices in the areas of account and trade activity, industry regulations and firm policies.

Key Responsibilities:

  • Partner with Financial Advisors and branch teams in an effort to assist them in building a successful and compliant business

  • Conduct review and approval of client account and trade activity, including completing commission adjustments in client accounts when appropriate

  • Coach and educate branch teams on supervisory and compliance issues, best practices, and complex client situations

  • Routinely contact clients to discuss trade activity within their accounts and to ensure proper disclosures have been made

  • Communicate potential concerns or supervisory issues to clients, Financial Advisors, home office associates, and industry regulators

  • Identify trends and patterns in branch activity to determine if follow-up is needed and/or if a situation requires escalation to another area in Compliance

  • Work in collaboration with internal business areas

  • Conduct supervisory visits throughout the year (4-6 weeks per year) on a subset of branches to enhance the quality of supervision

Req ID:

37224BR

Position Type:

Home Office

Full-time/Part-time:

Full-Time

EEO Statement:

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.

Posting Location:

Missouri, St. Louis

Company Description:

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.

Home based Associate?:

No

Awards and Accolades:

  • 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.

Search Headquarters Positions by Area of Interest:

COMPLIANCE

Position Requirements:

  • Series 7 license required that is currently active and held for a minimum of one year

  • Series 9, 10, 24, and 66 licenses required or must be obtained within four months of hire

  • Insurance license required or must be obtained within 12 months of hire

  • Compliance oversight, risk management, or supervisory related experience is strongly preferred

  • Required to travel 4-6 weeks per year to conduct supervisory visits, present at various regional meetings, and/or attend occasional industry meetings and conferences

  • Broad knowledge of products, supervisory systems, firm policies, and industry rules and regulations

  • Must demonstrate strong conflict-management, problem solving and independent decision making skills

  • Ability to work in a dynamic fast paced environment

  • Excellent verbal and written communication skills

  • Bachelor's degree in business-related field is preferred, but not required

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