Sr Compliance Officer

Edward Jones•Tempe, AZ

30d•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. View our Purpose, Inclusion and Citizenship Report. ¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating. Do you enjoy helping others learn and solve problems? If so, there is an exciting career opportunity waiting for you in our Compliance Service Department! 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. Responsibility Summary : 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 which could include: 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 Promote, support and incorporate the change management philosophy to department and division initiatives Employ system thinking and continual improvement to enhance the client experience Initiate department improvements and informally lead associates through escalations, oversights, projects and/or change. Understand and apply firm and industry policies and regulations to business decisions. Communicate with senior leadership across the division and firm

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 which could include:
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
Promote, support and incorporate the change management philosophy to department and division initiatives
Employ system thinking and continual improvement to enhance the client experience
Initiate department improvements and informally lead associates through escalations, oversights, projects and/or change.
Understand and apply firm and industry policies and regulations to business decisions.
Communicate with senior leadership across the division and firm

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.
For more information on the Benefits available to Edward Jones associates, please visit our benefits page.

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