20 days old

Compliance Officer - Compliance Service - St. Louis, MO or Tempe, AZ

Edward Jones
Tempe, AZ 85281
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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 14,000+ branch offices where our more than 7 million clients live and work. A typical branch office has one financial advisor who meets with clients face-to-face and one branch office administrator who enhances the team's ability to build deep relationships with clients. Headquarters associates in St. Louis and Tempe provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. Edward Jones currently has more branch offices than any other financial services firm, and we continue to grow to meet the needs of long-term individual investors.

The Compliance Service Department is primarily responsible for providing guidance on general Compliance policies and processes in response to inquiries from branch teams and home office associates, via phones, Service Requests and other tools or systems.

Key Responsibilities:

  • Communicate compliance policies to branch associates and those in other departments on an on-going basis in order to prevent miscommunications and escalating issues.

  • Common support topics include:
    • Communications with the public: social media, text messaging, sales correspondence, advertising, speaking engagements, FA bios and invitations.

    • Legal support related to fiduciary transactions conducted by POA agents, Custodial Account disbursements and Rule 3210.

  • Continually tailor solutions to various audiences in a fast-paced autonomous environment while quickly identifying branches needs and providing proper solutions.
  • SIE exam (if applicable) and Series 7 licenses required

  • Series 66 license strongly preferred or must be obtained within 3 months of hire

  • Series 9, 10, 24 and insurance licenses preferred or must be obtained for advancement opportunity

  • Prior compliance experience in the financial services industry is preferred, but not required

  • Strong judgment and decision making skills are required

  • Excellent written and verbal communication skills

  • Ability to use conflict management and problem solving skills with financial advisors, branch staff, leaders, peers and others in the firm

  • Ability to function independently and work collaboratively in a team environment

  • Ability to take ownership and see problems through to resolution

  • Bachelor's degree strongly preferred or equivalent work experience

Jobs Rated Reports for Compliance Officer

Posted: 2019-04-29 Expires: 2019-05-28
Sponsored by:
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Sponsored by:
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Compliance Officer - Compliance Service - St. Louis, MO or Tempe, AZ

Edward Jones
Tempe, AZ 85281

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Compliance Officer
25th2018 - Compliance Officer
Overall Rating: 25/220
Median Salary: $67,870

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