Compliance Officer II

Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500 company where people come first. With over 9 million clients and 20,000 financial advisors across the U.S. and Canada, we’re a privately-owned firm focused on our clients rather than shareholder returns. Our purpose is to partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging.

About the role

The Compliance Service 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. 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.

Compliance Officers have relative autonomy to resolve routine to semi-complex issues requiring interpretation of policies, procedures, or regulations. Associates use seasoned judgment to identify when an issue needs escalation for further review or action. This role involves acting as an intermediary with branches and other departments to resolve problems, promoting a culture of compliance through effective communication, conflict management, and problem-solving with financial advisors, branch staff, leaders, peers, and others.

A Compliance Officer II handles more complex situations with implications for individual customers and/or business stakeholders. Associates assist in creating and implementing training materials, department communications, coaching and developing team members, and leading process improvement or regulatory change projects.

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: social media, text messaging, sales correspondence, advertising, speaking engagements, FA bios, and invitations
  • Custodial Account disbursements and Rule 3210
  • Support of general topics for Branch Audit and Record retention
  • Compliance manual policies
• Tailor solutions to various audiences in a fast-paced, autonomous environment while quickly identifying branch needs and providing proper solutions
• Identify trends and patterns in branch and home office contacts to determine if follow-up or escalation is required; act as an escalation point for Compliance Officer I
• Coach, educate, and communicate potential compliance concerns to team members, branch teams, and home office associates
• Staff the assist line to support development and training of new associates
• Provide input into training and assist with observation and coaching for Compliance Service Officers and Compliance Officer I
• Lead small department projects or act as a subject matter expert
• Collaborate with internal business areas to drive policy revisions and updates
• Assist with oversights, monitoring, and assignment of workflow

Requirements

• Bachelor’s degree preferred or equivalent work experience required
• Series 7 license required (active and held for a minimum of one year)
• Series 66, 9, and 10 licenses required within 6 months of hire
• Series 24 license available for development (may be required for advancement opportunities)
• 2+ years of compliance experience strongly preferred
• Candidates within a commutable distance from Tempe, AZ or St. Louis, MO home office locations are expected to work in the office four days per week

Benefits

• Medical and prescription drug coverage
• Dental and vision insurance
• Voluntary benefits (accident, hospital indemnity, and critical illness insurance)
• Short- and long-term disability coverage (provided at no cost)
• Basic life and basic AD&D insurance (provided at no cost)
• 401k retirement plan
• Tax-advantaged accounts: Health Savings Account (HSA) and Flexible Spending Account (FSA)
• 10 paid holidays
• 15 days of vacation for new associates (beginning January 1 of each year)
• Sick time, personal days, and a paid day for volunteerism
• Eligibility for bonuses and profit sharing
• Employee Assistance Program (EAP)