Field Supervision Director

2 days ago


St Louis, Missouri, United States Edward Jones Full time
Job Overview

Edward Jones is seeking a highly skilled Field Supervision Director to join our team. As a key member of our Compliance Division, you will play a critical role in promoting our clients' best interests and options by partnering to improve our culture of compliance and enable the best experience for all.

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.
  • 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.
Requirements
  • Series 7 license required that is currently active and held for a minimum of one year.
  • Series 9, 10, 24, and 66 licenses are required or must be obtained within 4 months of hire.
  • Insurance license.
  • General knowledge of compliance or industry experience.
  • Bachelor's degree in business-related field.
About Us

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.



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