Senior Compliance Officer

Edward Jones

12d•Hybrid

About The Position

The Compliance Service Department's purpose is to serve as the primary resource for branch teams and home office areas to understand and apply compliance policies that enable and accelerate the branch team and client experience. The department is primarily responsible for providing guidance on general Compliance policies and processes in response to inquiries from branch teams and home office associates, via phones, Service Requests and other tools or systems. Responsibilities of the role require interaction that will impact branch teams, and other home office areas while promoting a culture of compliance. Associates use conflict management, effective communication and problem-solving skills with financial advisors, branch staff, leaders, peers, and others in the firm. A Senior Compliance Officer has a relatively broad responsibility to deal with more complex situations which have implications for individual customers and/or business stakeholders. Associates assist in the creation and implementation of training materials as well as department, division, and firm communications related to compliance matters. They assist in the coaching and development of other team members. Project work often involves process improvement or analysis of business/regulatory changes.

Requirements

Bachelor's degree or equivalent experience required
Series 7 license required that is currently active and held for a minimum of one year
Series 9, 10, 24, and 66 licenses are required or must be obtained within 6 months of hire
Minimum 3 years of compliance experience
Minimum 5 years of industry experience
Strong written and verbal communication skills

Nice To Haves

OE or process improvement experience preferred

Responsibilities

Uses knowledge of the industry, regulatory and compliance environment and firm business functions and takes it into account when making decisions
Build relationships and collaborate with compliance division stakeholders to identify and prepare for changes impacting clients and branch teams
Influence and contribute to firm, division or department efforts
Provide training, coaching and feedback to optimally create and maintain a strong learning environment and culture of compliance
Utilize OE/process improvement to organize and facilitate small to mid-size projects and/or act as a subject matter expert
Identify and analyze insights and communicate trends to influence solutions that impact the delivery of an ideal client experience