Compliance Officer Rgstr, CMPL

1 week 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: Home Office

The Registration 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 incompliance with industry rules and regulations. Registration associates are responsible for executing all of the tasks and processes involved in providing and maintaining proper security registrations for FAs, BOAs, HQ associates and branch offices.

Responsibility Summary :
Ensure compliance with industry regulations and accuracy of registration related data through reconciliations.
Provide accurate and timely reporting to stakeholders to facilitate efficient processes and contribute to the overall understanding of registration related information.
Analyze, monitor, and assign team processes daily to ensure coverage. This includes completing their own processes and providing coverage for team processes when staffing is short or volumes are high.
Collaborate with stakeholders to create efficient and effective processes that maximize value and minimize resource needs.
Use Excel to merge, cleanse, and transform data from multiple sources as needed for research.
Analyze and report the metrics of the Branch/FA Team to leadership on a monthly basis.
Initiate department improvements and informally drive associates through escalations, oversights, projects, and/or change.
Understand and apply firm and industry policies and regulations to business judgments.
Prepare written supervisory reviews for leader review and sign-off.

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: $59886
Hiring Maximum: $98752

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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Skills/Requirements

  • Bachelor's degree preferred.
  • Minimum two years Compliance experience.
  • Must have a good working knowledge of industry registration requirements and processes.
  • Proven judgment, problem-solving, and decision-making skills.
  • Solid organizational and time management skills.
  • Resolve issues in reconciling records across multiple sources.
  • Ability to handle exception requests while maintaining compliance with industry regulations.
  • Communicate effectively with associates, regulators, and other departments.
  • Strong written and verbal communication skills.
  • Dedicated knowledge of department and FINRA systems and processes will be expected after training is complete.
  • Effective use of the Firm's computer system and network, PeopleSoft, and FINRA Gateway.
  • Good working knowledge of PSFT Query.

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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