Field Supervision Director - Compliance

Edward Jones • Tempe, AZ

52d • Hybrid

About The Position

This job posting is anticipated to remain open for 30 days, from 07-Jan-2026. The posting may close early due to the volume of applicants. Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 9 million clients and 20,000 financial advisors across the U.S. and Canada, we're proud to be privately-owned, placing the focus on our clients rather than shareholder returns. Behind everything we do is our purpose: We 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. People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start or build your career. View our Purpose, Inclusion and Citizenship Report . ¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating. The Field Supervision Department plays a critical role in achieving the Compliance Division's mission of promoting our clients' best interest while helping to ensure the firm remains in compliance with industry rules and regulations. 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.

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 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
• 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.

Nice To Haves

• Insurance license is preferred.

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

Benefits

• Edward Jones' compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage. Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates.
• Edward Jones offers a 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account.
• Edward Jones observes ten paid holidays and provides 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.
• Associates may be eligible for bonuses and profit sharing.
• All associates are eligible for the firm's Employee Assistance Program.

What This Job Offers

• Job Type: Full-time
• Career Level: Director
• Number of Employees: 5,001-10,000 employees