Compliance Officer II

Edward Jones

4d

About The Position

The Compliance Officer II works in the Compliance Service Department, which serves as a primary resource for branch teams and home office associates on compliance policies and processes. The role provides guidance and education in response to inquiries through phone calls, written case requests, and other tools or systems. The officer exercises relative autonomy and seasoned judgment to resolve routine through complex matters, interpret policies, procedures, and regulations, and identify when an issue requires escalation. The position may serve as an intermediary among branches and other departments to resolve problems, with interactions affecting branch teams and home office areas while promoting a culture of compliance.

The role handles more complex situations that may affect individual customers or business stakeholders. It contributes to creating and implementing training materials and compliance communications, supports the coaching and development of team members, and may undertake process-improvement or analysis work related to business or regulatory changes. Candidates within commuting distance of the Tempe, Arizona, or St. Louis, Missouri, home offices are expected to work in the office four days per week.

Requirements

• Active Series 7 license held for a minimum of one year.
• Series 66, 9, and 10 licenses required within six months.
• Bachelor's degree preferred or equivalent work experience required.

Nice To Haves

• Two or more years of compliance experience strongly preferred.
• Series 24 license is available for development and may be required for advancement opportunities.

Responsibilities

• Provide education and training on general compliance policies and processes in response to inquiries from branch teams and home office associates by phone, written case requests, and other tools or systems.
• Address support topics including communications with the public, custodial account disbursements and Rule 3210, Branch Audit, record retention, and Compliance manual policies.
• Tailor solutions to different audiences in a fast-paced, autonomous environment, identify branch needs, and provide appropriate solutions.
• Identify trends and patterns in branch and home office contacts, determine whether follow-up or escalation is needed, and serve as an escalation point for Compliance Officer I associates.
• Coach, educate, and communicate potential concerns about general compliance and Compliance manual policies to team members, branch teams, and home office associates.
• Staff the assist line to support development and training of new associates.
• Provide training input and assist with observation and coaching for CSO and COI.
• Lead small department projects or serve as a subject matter expert as needed.
• Collaborate with internal business areas to drive policy revisions and updates.
• Assist with oversight, monitoring, and workflow assignment as needed.
• Assist in creating and implementing training materials and department, division, and firm communications related to compliance matters.
• Support process improvement or analysis of business and regulatory changes.

Benefits

• Medical and prescription drug coverage
• Dental insurance
• Vision insurance
• Voluntary benefits, including accident, hospital indemnity, and critical illness coverage
• Short- and long-term disability coverage
• Basic life and basic AD&D coverage
• 401(k) retirement plan
• Health savings account
• Flexible spending account
• Ten paid holidays
• 15 days of vacation for new associates beginning January 1 of each year
• Sick time
• Personal days
• Paid day for volunteerism
• Potential eligibility for bonuses and profit sharing
• Employee Assistance Program

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level