Financial Services Compliance Officer

5 days ago


St Louis, Missouri, United States Edward Jones Full time
We are looking for a highly skilled Financial Services Compliance Officer to join our team. In this role, you will be responsible for conducting risk-based reviews of business practices, processes, client accounts, and electronic records to ensure compliance with industry regulations and firm policies.

You will work closely with Financial Advisors and branch teams to build a successful and compliant business. This includes providing verbal and written communication related to the outcome of the review, potential concerns or risk areas discussed, specific actions needed, and resources provided.

The ideal candidate will have experience in auditing, firm policies, and industry regulations. They will have excellent communication skills and the ability to partner with Financial Advisors and branch teams through a client-centric approach. Benefits include comprehensive health insurance, a 401k retirement plan, and tax-advantaged accounts, as well as 15 days of vacation and ten paid holidays.

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