Field Supervision Officer II

Edward Jones

3d•Hybrid

About The Position

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. Field Supervision Officers are registered with FINRA as designated supervisory principals to enforce firm and regulatory compliance rules utilize extensive electronic processing systems and exception reports to complete work and provide support to branch offices regarding client activity, firm policies, and industry regulations.

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
Flexible Study Options: Full-time and/or part-time study available, based on departmental needs.
Structured Exam Support: Access to coaching resources to help organize and optimize your study schedule.

Nice To Haves

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

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.