Compliance Officer

The Compliance Service Department at Edward Jones is seeking a dynamic individual to join our team. Our department 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.

Responsibilities

• Provide education and training 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.
• 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.
• 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.
• 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

• Must live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations.

Benefits

Edward Jones offers 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.
• 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.
• Opportunities for bonuses and profit sharing.
• Access to the Employee Assistance Program.

Edward Jones is an equal opportunity employer and prohibits discrimination based on race, color, gender, religion, national origin, age, disability, sexual orientation, pregnancy, veteran status, genetic information, or any other basis prohibited by applicable law.