Compliance and Regulatory Expert

7 days ago


Tempe, Arizona, United States Edward Jones Full time
Job Overview

We are seeking a highly skilled Compliance and Regulatory Expert to join our team. As a key member of our Field Supervision Department, you will play a critical role in promoting our client's best interests and options by partnering to improve our culture of compliance and enable the best experience for all.

The successful candidate will be responsible for enforcing firm and regulatory compliance rules and policies over assigned branch offices, utilizing 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.



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