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Compliance Officer II

3 months ago

Saint Louis, United States Edward Jones Full time
Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.

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: Full-Time

Do you enjoy helping others learn and solve problems? If so, there is an exciting career opportunity waiting for you in our Compliance Service Department

The Compliance Service Department's purpose is to serve as the primary resource for branch teams and home office areas to understand and apply compliance policies that enable and accelerate the branch team and client experience. The department provides guidance on general Compliance policies and processes in response to inquiries from branch teams and home office associates, via phones, Service Requests and other tools or systems.

Compliance Officers have relative autonomy to resolve routine to semi-complex issues which require interpretation of policies, procedures, or regulations. Associates utilize seasoned judgment to identify and understand when an issue needs to be escalated for further review or action to branch teams or clients. This may include associates acting as an intermediary with branches and other departments within the firm to resolve problems.

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 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:

Hiring Minimum: $59886
Hiring Maximum: $98752

Skills/Requirements

Key Responsibilities:
  • Provide education and training on general Compliance policies and processes in response to inquiries from branch team and home office associates, via phones, written case requests and other tools or systems; common support topics include:
    • Communication with the public: social media, text messaging, sales correspondence, advertising, speaking engagements, FA bios and invitations
    • Custodial Account disbursements and Rule 3210
    • Support of general topics for Branch Audit and Record retention and
    • Compliance manual policies
  • Continually tailor solutions to various audiences in a fast-paced autonomous environment while quickly identifying branch needs and providing proper solutions
  • Identify trends and patterns in branch and home office contacts to determine if follow-up or escalation is required and act as an escalation point for CO I
  • Coach, educate and communicate potential concerns for general compliance or compliance manual policies to team members, branch teams and home office associates
  • Staff the assist line in support of development and training of new associates
  • Provide input into training and assist with observation and coaching to CSO and COI
  • May lead small department projects or act as a subject matter expert
  • Work in collaboration with internal business areas within the firm to drive policy revisions and updates
  • May assist with oversights, monitoring, and assignment of workflow

Qualifications Required:

  • Bachelor's degree preferred or equivalent work experience required
  • Required to hold 7 and 66 licenses (or equivalent)
  • Series 9 and 10 licenses required within 6 months
  • Series 24 license available for development but may be required for advancement opportunities
  • 2+ years compliance experience strongly preferred.


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

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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