Senior Compliance Officer

Edward Jones

6d

About The Position

The Senior Compliance Officer works in the Compliance Service Department, which serves as a primary resource for branch teams and home office associates seeking guidance on compliance policies and processes. The role responds to inquiries through phones, Service Requests, and other tools or systems, and promotes a culture of compliance through interactions with financial advisors, branch staff, leaders, peers, and other stakeholders.

This position handles relatively complex situations that may affect individual customers or business stakeholders. It contributes to the creation and implementation of compliance training materials and communications, supports the coaching and development of team members, and participates in projects involving process improvement or analysis of business and 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

• Bachelor's degree or equivalent experience.
• Active Series 7 license held for at least one year.
• Series 9, 10, 24, and 66 licenses, or ability to obtain them within six months of hire.
• At least 3 years of compliance experience.
• At least 5 years of industry experience.
• Strong written and verbal communication skills.

Nice To Haves

• Organizational effectiveness (OE) or process-improvement experience.

Responsibilities

• Apply knowledge of the industry, regulatory and compliance environment, and firm business functions when making decisions.
• Build relationships and collaborate with compliance division stakeholders to identify and prepare for changes affecting clients and branch teams.
• Provide training, coaching, and feedback to support a strong learning environment and culture of compliance.
• Use organizational effectiveness or process-improvement methods to organize and facilitate small- to mid-size projects and/or serve as a subject matter expert.
• Identify and analyze insights and communicate trends to influence solutions that improve the client experience.
• Assist in creating and implementing training materials and department, division, and firm communications related to compliance matters.
• Assist with coaching and developing other team members.
• Provide guidance on general compliance policies and processes in response to inquiries from branch teams and home office associates.

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 on January 1 of each year
• Sick time and personal days
• Paid day for volunteerism
• Potential bonuses and profit sharing
• Employee Assistance Program

What This Job Offers

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