Financial Compliance Specialist
3 weeks ago
At Edward Jones, we are seeking a Financial Compliance Specialist to join our team. As a key member of our Branch Audit Department, you will play a critical role in promoting our clients' best interests by continuously partnering together to strengthen our culture of compliance.
The ideal candidate will have a passion for auditing, firm policies, and industry regulations. You will conduct risk-based reviews of business practices, processes, client accounts, and electronic records utilizing data analytics, reports, and tailored discussions to test the Financial Advisor and branch team's compliance with industry regulations and firm policies. Your strong communication skills and ability to build relationships will be essential in providing verbal and written communication related to the outcome of the review, potential concerns or risk areas discussed, specific actions needed, and resources provided. You will also collaborate to address potential issues or risk areas with Financial Advisors, branch teams, and home office associates; determine when additional follow-up or escalation to leadership or another area is needed.
The salary range for this position is $59,886 - $98,752 per year, based on location and experience. We offer a comprehensive benefits package, including medical and prescription drug, dental, vision, voluntary benefits, short- and long-term disability, basic life, and basic AD&D coverage. Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates.
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Nonprofit Financial Compliance Specialist
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St Louis, Missouri, United States Creative Financial Staffing Full timeCreative Financial Staffing is partnering with a respected nonprofit educational organization to find a highly skilled Nonprofit Financial Compliance Specialist. The chosen candidate will play a key role in ensuring the organization's financial operations are in line with relevant laws and regulations.The primary responsibilities of this position include...
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Financial Services Compliance Specialist
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St Louis, Missouri, United States Edward Jones Full timeAbout Edward JonesWe're a financial services firm where people come first. With over 9 million clients and 20,000 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.Purpose and MissionOur purpose is to improve the lives of our clients and colleagues, and together,...
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Branch Compliance Specialist
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St Louis, Missouri, United States Edward Jones Full timeWe're looking for a talented individual to join our team as a Branch Compliance Specialist.About the RoleThis is an exciting opportunity for someone who wants to make a meaningful impact in the financial services industry. As a Branch Compliance Specialist, you will play a critical role in ensuring that our branch offices are operating in compliance with...
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Compliance Specialist
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St Louis, Missouri, United States Edward Jones Full timeJob OverviewWe are seeking a skilled and detail-oriented Compliance Specialist to join our team. As a key member of our Branch Audit Department, you will play a critical role in promoting the best interests of our clients and fostering an environment of trust.The ideal candidate will have experience in auditing, firm policies, and industry regulations. You...
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Financial Services Compliance Officer
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Financial Industry Compliance Lead
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Financial Reporting Specialist
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Financial Management Specialist
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St Louis, Missouri, United States KIPP St. Louis Public Schools Full timeJob Title: Financial Management Specialist">About Us:KIPP St. Louis Public Schools is a leading educational institution dedicated to providing high-quality education to students in the city of St. Louis. Our mission is to create joyful, academically excellent schools that prepare students for success in college, career, and beyond.Salary: $62,500 -...
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St Louis, Missouri, United States Beacon Hill Staffing Group Full timeBeacon Hill Staffing Group is seeking an experienced Accounting Specialist to join our team. In this role, you will be responsible for preparing and analyzing financial records for the company.Key ResponsibilitiesFinancial Statement Preparation: Prepare and examine accounting records, financial statements, taxes, and other financial reports to ensure...
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Financial Services Support Specialist
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St Louis, Missouri, United States Stifel Financial Full timeAs a Client Service Associate at Stifel Financial, you will play a vital role in supporting our financial advisors and providing exceptional service to our clients. With a salary range of $55,000 to $75,000 per year, this opportunity offers a competitive compensation package and the chance to grow your career in a dynamic industry.Your primary...
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Accounting Compliance Specialist
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Compliance Specialist
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St Louis, Missouri, United States Edward Jones Full time**Company Overview**Edward Jones is a Fortune 500 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.We partner for positive impact to improve the lives of our clients and colleagues, and...
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Financial Operations Analyst- Compliance
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St Louis, Missouri, United States Edward Jones Full timeWe're seeking a highly skilled Trade Corrections Analyst to join our team. As a Trade Corrections Analyst, you will play a critical role in ensuring the accuracy and integrity of our clients' investment transactions. Your responsibilities will include reviewing, approving, and processing trade cancels and rebills, as well as coordinating with internal...