Field Supervision Director

3 weeks ago


St Louis MO USA, United States Edward Jones Full time
Transform Your Career with Edward Jones

Are you ready to make a meaningful impact in the financial services industry? Edward Jones is seeking a talented 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.

Job Overview

Position Schedule: Full-Time

We are looking for a highly motivated individual who enjoys putting pieces together to know the bigger picture and partnering to solve complex issues. As a Field Supervision Director, you will be responsible for enforcing firm and regulatory compliance rules and policies for assigned Branch Teams. You will also prevent, detect, and mitigate risk to clients, the firm, and Branch Teams by examining client account activity, identifying suitability concerns, and evaluating Branch business.

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.
  • Judgment making is evidenced in supervisory records and subject to regulatory scrutiny.
  • 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.
  • Travel may be required for Branch Team supervisory visits, regulatory examinations or events, and compliance related matters.


What We Offer

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. The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors for a potential new associate:

Hiring Minimum: $70659
Hiring Maximum: $116516

Requirements

What You'll Need:
  • 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
What Might Set You Apart:

• Insurance license

• General knowledge of compliance or industry experience

• Bachelor's degree in business-related field

Candidates that live within in a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday.

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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