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At Edward Jones, we help clients achieve their serious, long-term financial goals by understanding their needs and implementing tailored solutions. To ensure a personal client experience, we have located our 15,000+ branch offices where our more than 7 million clients live and work.
In a typical branch office, a financial advisor meets with clients and receives branch office support, so they can focus on building deep relationships with clients. Headquarters associates in St. Louis, Tempe and Mississauga provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. We continue to grow to meet the needs of long-term individual investors.
The Field Supervision Department plays a critical role in achieving the Compliance Division’s mission of promoting our clients’ best interest while helping to ensure the firm remains in compliance with industry rules and regulations. Supervisory responsibilities of the firm’s branch offices are handled by teams in this department, which are centralized in the St. Louis and Tempe home offices.
Compliance Field Supervisors, also known as Field Supervision Directors, are registered principals with supervisory responsibility over assigned branch offices. Compliance Field Supervisors utilize extensive electronic processing systems and exception reports to complete the supervision of and provide support to branch offices in the areas of account and trade activity, industry regulations and firm policies.
Key Responsibilities:
Partner with Financial Advisors and branch teams in an effort to assist them in building a successful and compliant business
Conduct review and approval of client account and trade activity, including completing commission adjustments in client accounts when appropriate
Coach and educate branch teams on supervisory and compliance issues, best practices, and complex client situations
Routinely contact clients to discuss trade activity within their accounts and to ensure proper disclosures have been made
Communicate potential concerns or supervisory issues to clients, Financial Advisors, home office associates, and industry regulators
Identify trends and patterns in branch activity to figure out if follow-up is needed and/or if a situation requires escalation to another area in Compliance
Work in collaboration with internal business areas
Conduct supervisory visits throughout the year (4-6 weeks per year) on a subset of branches to enhance the quality of supervision
The Field Supervision Director could be based in our HQ offices in St. Louis, Tempe, be remote or have a hybrid work arrangement.
#LI-Remote
Series 7 license required that is currently active and held for a minimum of one year
Series 9, 10, 24, and 66 licenses required or must be obtained within four months of hire
Insurance license is Preferred
Compliance oversight, risk management, or supervisory related experience is strongly preferred
Required to travel 4-6 weeks per year to conduct supervisory visits, present at various regional meetings, and/or attend occasional industry meetings and conferences
Broad knowledge of products, supervisory systems, firm policies, and industry rules and regulations
Must demonstrate strong conflict-management, problem solving and independent decision making skills
Ability to work in a dynamic fast paced environment
Excellent verbal and written communication skills
Bachelor’s degree in business-related field is preferred, but not required
2021 FORTUNE 100 Best Companies to Work For® By Great Place to Work® and FORTUNE Magazine – Edward Jones was named No. 20 on the list.
From FORTUNE ©2021 FORTUNE Media IP Limited. All rights reserved. Used under license. FORTUNE and FORTUNE 100 Best Companies to Work For are registered trademarks of Fortune Media IP Limited and are used under license. FORTUNE and Fortune Media IP Limited are not affiliated with, and do not endorse products or services of, Edward Jones Investments.
2021 Corporate Equality Index – Edward Jones joins the ranks of 767 major U.S. businesses that received top marks in the Foundation’s 19th annual scorecard on LGBTQ workplace equality.
From The Human Rights Campaign. All Rights Reserved
2021 Training Top 100 list – Edward Jones ranked No. 19, up six spots from last year in its 21st consecutive year on this prestigious list.
J.D. Power, 2021 – Edward Jones has ranked “highest in Employee Advisor Satisfaction among Financial Investment Firms” in the J.D. Power 2021 U.S. Financial Advisor Satisfaction Study.
Edward Jones received the highest score among employee advisors in the J.D. Power 2007,2008, 2010, 2012-2015, 2017-2021 Financial Advisor Satisfaction Studies of employee advisors’ satisfaction among those who are employed by an investment services firm. Visit jdpower.com/awards for more information.
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.
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:
