Field Supervision Director

3 weeks ago

Saint Louis MO, United States Edward Jones Full time

Opportunity OverviewDo you enjoy putting pieces together 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 DepartmentDescription: The Field Supervision Department plays a critical role in achieving the Compliance Division's purpose of promoting our client's best interests and options 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 directly related to our success in attracting, retaining, and developing a talented and diverse workforce.Field Supervision Directors are registered with FINRA as designated supervisory principals to enforce firm and regulatory compliance rules and policies over assigned branch offices. Compliance Field Supervisors utilize extensive electronic processing systems and exception reports to complete the supervision of and provide help to branch offices regarding client activity, firm policies, and industry regulations.Key Responsibilities:Enforce firm and regulatory compliance rules and policies for assigned Branch Teams.Prevent, detect, and mitigate risk to clients, the firm, and Branch Teams by examining client account activity, identifying suitability concerns, and evaluating Branch business.Judgment making is evidenced in supervisory records and subject to regulatory scrutiny.Partner with leadership to provide input and guidance on establishing and maintaining firm WSPs.Advance knowledge and expertise of industry regulations and firm policies.Consultant on firm offered products, asset allocation strategies, and investment solutions for clients, to ensure alignment with industry regulation and firm investment philosophy.Guide Branch Teams in building a successful and compliant business.Influence and drive discussion on compliance topics with Branch Teams, Regions, and various stakeholders across the firm.Represent the firm through direct contact with clients to discuss account activity and confirm knowledge of risks and benefits in relation to industry regulation and firm investment philosophy.Travel may be required for Branch Team supervisory visits, regulatory examinations or events, and compliance related matters.Position RequirementsSeries 7 license required that is currently active and held for a minimum of one yearSeries 9, 10, 24, and 66 licenses are required or must be obtained within 4 months of hirePreferred Requirements:· Insurance license· General knowledge of compliance or industry experience· Bachelor's degree in business-related fieldCompany DescriptionAt 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.Awards and Accolades100 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.Position ScheduleFull-Time Posting LocationMissouri, St. Louis, Arizona, TempeFlexible Work Option(s)RemotePosition TypeHome Office EEO StatementEdward 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.RecruiterGreta BanholzerSalary InformationAt 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 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:Req ID: 77055BR

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