Compliance Associate, Risk Management Specialist

1 week ago


Saint Louis, United States Benjamin F Edwards & Co Full time
About Benjamin F. Edwards & Co

Benjamin F. Edwards & Co is a financial services firm that puts the interests of its advisors and clients first.

Salary Information

The estimated annual salary for this position ranges from $80,000 to over $120,000 based on experience and qualifications.

Job Description

We are seeking a Compliance Associate, Surveillance to join our team in monitoring client accounts and Financial Advisor activity to ensure compliance with FINRA, SEC rules and regulations, and company policies.

This role will act as the main point of contact with branch locations to interpret policies and procedures and regulatory rules. Conduct investigations of suspicious activity, recommend corrective action, and develop long-term prevention controls.

Key Responsibilities
  • Perform trade surveillance and evaluate potential exceptions based on securities laws, regulations, and company policy.
  • Coach branch and home office staff on policies and procedures to promote compliance awareness.
  • Collaborate with branch managers and other Compliance and Supervision personnel to address compliance matters.
  • Assist in the development of new exception reports, processes, controls, and tools to help identify exceptions based on securities laws, regulations, and company policy.
  • Draft or assist in the drafting of communications to brokers and clients addressing compliance matters.
  • Provide compliance risk and regulatory subject matter expertise.
  • Provide written and verbal updates to Compliance managers as needed.
Requirements

To be successful in this role, you will need:

  • An understanding of the application of SEC and FINRA regulations and the need for company Compliance Policies and Procedures.
  • Strong regulatory, product, and brokerage knowledge, with an emphasis on mutual funds, annuities.
  • Familiarity with automated supervision and surveillance systems.
  • Ability to manage and prioritize multiple tasks while meeting deadlines.
  • Ability to adapt to changing work environment, roles, and responsibilities.
  • Ability to prioritize and resolve complex problems and escalate as necessary.
  • Expertise with Microsoft Office (Word, Excel, and Outlook).
  • Strong written, verbal, and analytical skills.
  • Strong attention to detail.
Benefits

We offer a comprehensive benefits package, including health, dental, vision, 401(k), life insurance, disability, and paid time off.

About Our Company Culture

We value our legacy of family and colleagues and cherish an environment where all succeed through collaborative support. We invest in our team and recognize and appreciate the value of hard work. The rewards of the job are founded in the difference you will make in the lives of our clients and extend throughout a culture that inspires you to learn, grow, and be your best. Having fun is part of our mission statement.



  • St Louis, Missouri, United States Edward Jones Full time

    Role OverviewWe are seeking a skilled Compliance Risk Management Specialist to join our team. This role will play a vital part in ensuring compliance with industry regulations and firm policies.About the RoleThis position involves collaborating with branch teams to enhance client experiences and strengthen the culture of compliance within the organization....


  • St Louis, Missouri, United States 7G Environmental Compliance Management Full time

    Job SummaryWe are seeking a detail-oriented Environmental Compliance Specialist to join our team at 7G Environmental Compliance Management. As an Environmental Compliance Specialist, you will be responsible for conducting inspections of petroleum storage tank systems and associated facilities, ensuring compliance with state and federal regulations.About the...

  • Senior Risk

    2 days ago


    Saint Louis, United States Edward Jones Full time

    You could say we're at the center of the center.Here at Edward Jones the client is our single focus and our relationships with them are the measure of everything we do. And Service and Operations divisions are at the center of it all. We support our clients, branch teams and headquarter associates in providing the best possible experience. Advocate for our...

  • Senior Risk

    2 days ago


    Saint Louis, United States Edward Jones Full time

    You could say we're at the center of the center.Here at Edward Jones the client is our single focus and our relationships with them are the measure of everything we do. And Service and Operations divisions are at the center of it all. We support our clients, branch teams and headquarter associates in providing the best possible experience. Advocate for our...

  • Senior Risk

    4 days ago


    Saint Louis, United States Edward Jones Full time

    You could say we're at the center of the center.Here at Edward Jones the client is our single focus and our relationships with them are the measure of everything we do. And Service and Operations divisions are at the center of it all. We support our clients, branch teams and headquarter associates in providing the best possible experience. Advocate for our...


  • St Louis, Missouri, United States Edward Jones Full time

    About Edward JonesWe are a Fortune 500 company that prioritizes our clients and colleagues. Our mission is to improve the lives of our clients and communities through partnerships.Job OverviewThis role is part of the Registration Department, which plays a critical role in ensuring the firm's compliance with industry rules and regulations. As a Compliance...


  • St Louis, Missouri, United States Enterprise Bank and Trust Full time

    Job Overview: As a Senior IT Auditor, you will be responsible for ensuring the integrity of Enterprise Bank and Trust's technology infrastructure by executing risk-based IT audits. This role requires a strong understanding of Sarbanes-Oxley compliance and regulatory requirements. You will work closely with management to identify and mitigate technology...


  • Saint-Maudez, Bretagne, United States Strategic Management Full time

    Job Title: Hotline Communications/Support SpecialistWe are seeking a skilled Hotline Communications/Support Specialist to join our team at Strategic Management. As a key member of our Compliance Resource Center, you will play a vital role in supporting our Hotline Service Center.Key ResponsibilitiesOrganize and input client forms into our databases with...


  • Saint-Bauzille-de-Putois, Occitanie, United States The Amynta Group Full time

    We are seeking a highly skilled Risk Management Associate to join our team at The Amynta Group.OverviewThe Amynta Group is committed to a policy of Equal Employment Opportunity and will not discriminate against an applicant or employee on the basis of any ground of discrimination protected by applicable human rights legislation.Job SummaryThis is a long-term...

  • Senior Risk

    1 day ago


    Saint Louis, MO, United States Edward Jones Full time

    Senior Risk & Control Associate at Edward Jones summary: The Senior Risk & Control Associate is responsible for identifying, assessing, and mitigating operational and technological risks within the Edward Jones division. This role involves facilitating risk assessments, advising on compliance and ethical practices, and developing risk management...


  • St. Louis, United States Enterprise Bank and Trust Full time

    About the RoleWe are seeking a highly skilled Technology Risk Assurance Specialist to join our team. In this role, you will be responsible for executing risk-based IT audits to ensure compliance with Sarbanes-Oxley and regulatory requirements.Key ResponsibilitiesDevelop Information Systems Audit plans by identifying business process and information...

  • Risk Manager

    2 weeks ago


    Saint Louis, United States Edward Jones Full time

    Your passion. Our purpose. This could be powerful.Maybe the markets keep you up at night. Trusts are your forte. Or your idea of a perfect day at the office is a deep dive into equity research. Whatever your passion, at Edward Jones it will have purpose. Your work is meaningful - because it has a singular focus: client relationships. What you do every day...

  • Risk Manager

    1 week ago


    Saint Louis, United States Edward Jones Full time

    Your passion. Our purpose. This could be powerful.Maybe the markets keep you up at night. Trusts are your forte. Or your idea of a perfect day at the office is a deep dive into equity research. Whatever your passion, at Edward Jones it will have purpose. Your work is meaningful - because it has a singular focus: client relationships. What you do every day...

  • Risk Manager

    1 month ago


    Saint Louis, United States Edward Jones Full time

    Your passion. Our purpose. This could be powerful.Maybe the markets keep you up at night. Trusts are your forte. Or your idea of a perfect day at the office is a deep dive into equity research. Whatever your passion, at Edward Jones it will have purpose. Your work is meaningful - because it has a singular focus: client relationships. What you do every day...

  • Risk Manager

    1 month ago


    Saint Louis, United States Edward Jones Full time

    Your passion. Our purpose. This could be powerful.Maybe the markets keep you up at night. Trusts are your forte. Or your idea of a perfect day at the office is a deep dive into equity research. Whatever your passion, at Edward Jones it will have purpose. Your work is meaningful - because it has a singular focus: client relationships. What you do every day...

  • Risk Manager

    3 weeks ago


    Saint Louis, United States Edward Jones Full time

    Your passion. Our purpose. This could be powerful.Maybe the markets keep you up at night. Trusts are your forte. Or your idea of a perfect day at the office is a deep dive into equity research. Whatever your passion, at Edward Jones it will have purpose. Your work is meaningful - because it has a singular focus: client relationships. What you do every day...

  • Risk Manager

    1 week ago


    Saint Louis, United States Edward Jones Full time

    Your passion. Our purpose. This could be powerful.Maybe the markets keep you up at night. Trusts are your forte. Or your idea of a perfect day at the office is a deep dive into equity research. Whatever your passion, at Edward Jones it will have purpose. Your work is meaningful - because it has a singular focus: client relationships. What you do every day...


  • St Louis, Missouri, United States Alberici Full time

    At Alberici, we are built differently. We seek the best and brightest professionals to join our team as a Risk Management Insurance Specialist. This role is a fantastic opportunity for an insurance expert to work with our Vice President of Risk Management in daily operations and contribute to the success of our company.About the CompanyWe are a diversified...

  • Senior Risk

    3 days ago


    Saint Louis, MO, United States Edward Jones Full time

    You could say we're at the center of the center.Here at Edward Jones the client is our single focus and our relationships with them are the measure of everything we do. And Service and Operations divisions are at the center of it all. We support our clients, branch teams and headquarter associates in providing the best possible experience. Advocate for our...


  • 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...