Field Supervision Director - Primary

Edward Jones

About The Position

The Field Supervision Director is a designated supervisory principal registered with FINRA who enforces firm and regulatory compliance rules and policies for assigned branch offices. Using electronic processing systems and exception reports, the role supervises branch activity and advises branch offices on client activity, firm policies, and industry regulations. The Field Supervision Department supports the Compliance Division’s purpose of promoting clients’ best interests and improving the firm’s culture of compliance. The director identifies and mitigates risk, reviews client account activity and suitability, guides branch teams in building compliant businesses, and partners with leadership and other stakeholders on compliance matters. The role may involve travel for branch supervisory visits, regulatory examinations, events, and other compliance-related matters. 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

An active Series 7 license held for a minimum of one year.
Series 9, 10, 24, and 66 licenses, or the ability to obtain them within four months of hire.

Nice To Haves

Insurance license.
General knowledge of compliance or industry experience.
Bachelor’s degree in a business-related field.

Responsibilities

Enforce firm and regulatory compliance rules and policies for assigned Branch Teams.
Prevent, detect, and mitigate risk to clients, the firm, and Branch Teams by examining client account activity, identifying suitability concerns, and evaluating Branch business.
Document supervisory judgment in records that may be subject to regulatory scrutiny.
Partner with leadership to provide input and guidance on establishing and maintaining firm WSPs.
Advance knowledge and expertise of industry regulations and firm policies.
Consult on firm-offered products, asset allocation strategies, and investment solutions to ensure alignment with industry regulations and the firm’s investment philosophy.
Guide Branch Teams in building a successful and compliant business.
Influence and drive discussion on compliance topics with Branch Teams, Regions, and stakeholders across the firm.
Represent the firm in direct client discussions about account activity and confirm clients’ understanding of relevant risks and benefits.
Travel for Branch Team supervisory visits, regulatory examinations or events, and compliance-related matters as needed.

Benefits

Medical and prescription drug coverage.
Dental insurance.
Vision insurance.
Voluntary benefits, such as accident, hospital indemnity, and critical illness coverage.
Short- and long-term disability coverage at no cost to associates.
Basic life and basic AD&D coverage at no cost to associates.
401(k) retirement plan.
Health savings account and flexible spending account.
Ten paid holidays.
15 days of vacation for new associates beginning on January 1 of each year.
Sick time and personal days.
Paid day for volunteerism.
Associates may be eligible for bonuses and profit sharing.
Employee Assistance Program.