Compliance Officer

About the role

The Compliance Service Department at Edward Jones serves as the primary resource for branch teams and home office areas to understand and apply compliance policies that enable and accelerate the branch team and client experience. The department provides 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.

Responsibilities

• Provide education and training on general Compliance policies and processes in response to inquiries from branch teams and home office associates, via phones, written case requests and other tools or systems;
• Common support topics include: Communication with the public, Custodial Account disbursements and Rule 3210, Support of general topics for Branch Audit and Record retention and Compliance manual policies;
• Continually tailor solutions to various audiences in a fast-paced autonomous environment while quickly identifying branch needs and providing proper solutions;
• Independently identify trends and patterns in contacts from branch and home office associates to develop a plan if follow-up or escalation is required;
• Identify, educate, and communicate potential concerns to branch teams or home office associates;
• Provide input into training and assist with job observations;
• Contribute to team project work;
• Work in collaboration with internal business areas to identify opportunities for policy revisions in alignment with a culture of compliance;
• Develop skills for transition to role requiring broader compliance responsibility.

Requirements

• Bachelor's degree preferred or equivalent work experience required;
• Series 7 license required within 6 months;
• Series 66, 9 and 10 licenses required within 6 months;
• Series 24 license available for development but may be required for advancement opportunities;
• 2+ years compliance experience strongly preferred.

Qualifications

Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office four days per week.

Skills

Associates use conflict management, effective communication and problem-solving skills with financial advisors, branch staff, leaders, peers and others in the firm.

Benefits

Edward Jones offers a comprehensive benefits package including:

• Medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), 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;
• A 401(k) retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account;
• 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism;
• Eligibility for bonuses and profit sharing;
• Access to the firm's Employee Assistance Program.

Pay

Compensation provided for using, not obtaining, the rating.

Schedule

Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office four days per week.