Team Leader
3 days ago
Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is working to make the firm better together - as they grow as individuals. If these words resonate with you, we should talk.
Job Overview
Position Schedule: Home Office
The Asset and Electronic Communication Supervision team is responsible for the oversight and supervision of client and branch activity related to asset-based disclosures and reports, branch and home office electronic communications, and records management and production. This position would be responsible for leading a team of Field Supervision Directors (FSDs) and Field Supervision Officers who provide compliance support to our branch offices and internal departments. This position would also serve as a subject matter expert for Social Media supervision.
What You'll Do:
- Oversee the performance of a Field Supervision Asset and Electronic Communications Supervision Team
- Utilize expertise of firm compliance policies and industry regulations to strategically direct complex, supervisory and non-supervisory work.
- Complete risk oversight(s) of principals and other associates, evidenced in supervisory records, to ensure reasonable supervision is in alignment with firm and regulatory policies and procedures.
- Establish performance expectations to ensure supervision is reasonable, timely, and in the best interest of the client
- Attract, retain, and develop a diverse team to meet current and future business goals
- Mentor and coach team on identifying trends and patterns in branch and client activity while influencing next steps in progressive review and supervision.
- Engage associates to foster a growth mindset by supporting the planning and execution of a purposeful development plan
- Manage and implement complex projects to ensure firm business and supervision evolve with operational and regulatory demands
- Foster constructive partnerships by influencing and positively impacting discussions as a key judgment maker with Branch Teams and various stakeholders across the firm.
- Represent the firm as a mentor within the department and represent the firm during industry conferences, legal proceedings, and regulatory matters.
- Enforce and assist in establishing and maintaining firm Written Supervisory Procedures (WSPs)
Edward Jones' compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage. Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates. Edward Jones offers a 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account. Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing. All associates are eligible for the firm's Employee Assistance Program. For more information on the Benefits available to Edward Jones associates, please visit our benefits page.
Hiring Minimum: $96471
Hiring Maximum: $164262
Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act. Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf.
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Read More About Job Overview
Skills/Requirements
What Experience You Need:
- Series 7 & 66 (or equivalent) required (Series 7 must be held for a minimum of 2 years)
- Series 9 &10 (or equivalent), 24, and insurance license required (or must be obtained within 4 months of hire)
- Extensive securities product knowledge as well as knowledge of industry regulations, firm policies, and supervisory systems
- Leadership, data-based, investigative, and judgment-making skills are required
What Might Set You Apart:
- Bachelor's degree or equivalent industry experience
- Graduate level degree or additional industry certification(s) is preferred.
- Proven verbal and written communication skills
- Ability to provide effective coaching and feedback
Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act. Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf.
Read More About Skills/Requirements
Awards & Accolades
At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received.
Check out our U.S. awards and accolades: Insights & Information Blog Postings about Edward Jones
Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones
Read More About Awards & Accolades
About Us
Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 8 million clients and 19,000 financial advisors across the U.S. and Canada, we're proud to be privately-owned, placing the focus on our clients rather than shareholder returns.
Behind everything we do is our purpose: We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging.
People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start or build your career.
View our Purpose, Inclusion and Citizenship Report.
¹Fortune 500, published June 2023, data as of December 2022. Compensation provided for using, not obtaining, the rating.
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.
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