Senior Field Supervision Director- Complex Products Supervision

Edward Jones • Saint Louis, MO

50d • Hybrid

About The Position

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. The Field Supervision Department plays a critical role in achieving the Compliance Division's purpose of promoting our client's best interests and judgments 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 related to our success in attracting, retaining, and developing a talented and diverse workforce. Complex Products Field Supervision Directors (FSD) are registered principals with supervisory responsibility for assigned branch teams with an emphasis on the transactions and on-going supervision of various complex products. A Complex Products FSD utilizes internal and external systems to complete the upfront and ongoing supervision of complex products. Additional responsibilities include providing support to branch offices, as well as providing subject matter expertise on the various products, industry regulations, and firm policies in the areas of complex products.

Requirements

• FINRA Series 7 license is required; held for a minimum of one year.
• FINRA Series 66 license or equivalent is required.
• FINRA Series 24 license is required.
• FINRA Series 9 & 10 (or equivalent) are required.
• Life and Health Insurance License is required
• Leadership, analytical, investigative, and decision-making skills are required.
• Extensive knowledge of different product types available both available throughout the industry and firm
• Broad knowledge of products, supervisory systems, firm policies, and industry rules and regulations
• Must demonstrate strong conflict-management, problem solving and independent decision making skills
• Highly organized, collaborative, adaptable to change and excited to continually learn in a dynamic organization
• Excellent verbal and written communication skills

Nice To Haves

• Bachelor's degree or equivalent industry experience.
• 6 years of industry experience or 4 years of supervisory experience, compliance oversight, or risk management.
• FINRA Series 4
• Professional certification or designation (examples: CFA, CFP, ChFC, CAIA, CIMA)
• Demonstrated success in Compliance oversight, risk management, or supervisory related role
• Previous supervisory experience with complex products such as: alternatives, structured products, derivatives or derivative based products
• Adept at analyzing and creatively solving ambiguous matters that are often complex

Responsibilities

• registered principals with supervisory responsibility for assigned branch teams with an emphasis on the transactions and on-going supervision of various complex products
• utilizes internal and external systems to complete the upfront and ongoing supervision of complex products
• providing support to branch offices
• providing subject matter expertise on the various products, industry regulations, and firm policies in the areas of complex products.

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: Senior
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Number of Employees: 5,001-10,000 employees