What are the responsibilities and job description for the Field Supervision Director - Compliance position at Edward Jones?
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What You'll Do:
This Field Supervision Director position on the Asset and Electronic Field Supervision Team will be responsible for completing supervisory reviews of client and branch activity involving electronic communications and asset movement. A key responsibility will be effectively managing and leading department efforts related to improving processes and workflows.
Key Responsibilities:
Effectively manage and lead departmental efforts related to social media and electronic communications.
Develop deep subject‑matter expertise in the firm’s electronic surveillance tools, including their capabilities, limitations, and operational implementation.
Translate regulatory requirements and firm policy changes into clear business requirements to ensure we meet all supervisory obligations.
Develop and manage stakeholder relationships to improve supervision and compliance
Broad responsibility to deal with situations involving communications with the public, customer accounts, or firm policies, procedures and controls. Impact of incorrect or inaccurate information could result in potential for customer complaint, arbitration, or regulatory risk/liability.
This role will deal with firm programs. Risk of non-compliance can extend to sanctions and fines. On a situational basis, this FSD role will investigate and resolve issues that could impact a Financial Advisor and/or firm policies and procedures and are reportable to the regulators.
Identify trends and patterns in branch activity to figure out if follow-up or escalation is required or another area of Compliance or additional process improvements are needed
Coach, educate and communicate potential concerns or supervisory issues to team members, clients, Financial Advisors and home office associates
Assist in coaching, developing and providing feedback to FSO I, II, III
- Assist with oversights, monitoring and assignment of workflow
What You'll Need:
- 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 6 months of hire
- Comprehensive knowledge and understanding of industry rules and regulations and supervisory issues
- 5 years securities industry experience with minimum 3 years in a compliance capacity strongly preferred
- Ability to interpret emerging regulation, identify and respond to the impact on Edward Jones products and processes
- Demonstrate strong conflict management and problem-solving skills
- Bachelor's degree or equivalent experience preferred, but not required
- Insurance license is preferred.
- Candidates that live within in a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday.
**Candidates that live within in a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday.*
Current INTERNAL home-based associates: While this role is posted as hybrid, if selected and accepted, you may retain your home-based status. Edward Jones intends in good faith to continue offering the role as home-based, though future business or regulatory needs may require on-site work.
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