Field Supervision Officer II

Description

The Field Supervision Department plays a critical role in achieving the Compliance Division's purpose of promoting our client's best interests and choices by partnering to improve our culture of compliance and enable the best experience for all. Our associates are our greatest asset, and the opportunity to increase our client impact is directly related to our success in attracting, retaining, and developing a talented and diverse workforce.

Key Responsibilities

• Review of non-supervisory and basic supervisory client and branch activity to identify fraudulent or manipulative activity.
• Review of electronic communication for branch teams and home office associates.
• Verify account information and accuracy through contacts with our clients and branch teams.
• Identify supervisory issues, trends, and potential concerns in branch activity and effectively communicate them to clients, Financial Advisors, and home office associates.
• Develop and deliver training, coaching and feedback.

Requirements

• Series 7 license that is currently active and has been held a minimum of one year.
• Must obtain Series 9, 10, 24, and 66 within 4 months of hire.

Preferred Requirements

• Insurance license is preferred.
• General understanding of compliance or industry experience is preferred.
• One to two years of compliance experience is preferred.
• Bachelor's degree or equivalent experience is preferred, but not required.

Benefits

• Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act.
• Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e).