What are the responsibilities and job description for the Field Supervision Director - Heightened Supervision position at EDWARD JONES?
At Edward Jones, we help clients achieve their serious, long-term financial goals by understanding their needs and implementing tailored solutions. To ensure a personal client experience, we have located our 15,000 branch offices where our more than 7 million clients live and work.
In a typical branch office, a financial advisor meets with clients and receives branch office support, so they can focus on building deep relationships with clients. Headquarters associates in St. Louis, Tempe and Mississauga provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. We continue to grow to meet the needs of long-term individual investors.
In a typical branch office, a financial advisor meets with clients and receives branch office support, so they can focus on building deep relationships with clients. Headquarters associates in St. Louis, Tempe and Mississauga provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. We continue to grow to meet the needs of long-term individual investors.
Do you enjoy putting pieces together to understand the bigger picture and partnering to solve complex issues? If so, there is an exciting career opportunity waiting for you in our Field Supervision Department!
The Field Supervision Department plays a critical role in achieving the Compliance Division's purpose of promoting our client's best interests and decisions by partnering to strengthen 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.
The Heightened Supervision Field Supervision Director will monitor and supervise the activity of Financial Advisors who may warrant additional review. This may include associates who have had or show the potential of having a pattern of compliance related issues, personal financial concerns, or more complex outside activities that may pose a significant conflict of interest. Reviews may also be based on various trends and/or observations during a given period. Types of reviews may range from formalized prescriptive reviews to general overviews of the associate's business practices and financial concerns.
Heightened Field Supervision Directors are registered with FINRA as designated supervisory principals to enforce firm and regulatory compliance rules and policies. In this role you will prevent, detect, and mitigate risk by analyzing client account activity, identifying suitability concerns, and evaluating Branch business.
Key Responsibilities:
- Decision making is evidenced in supervisory records and subject to regulatory scrutiny.
- Partner with leadership to provide input and guidance on establishing and maintaining firm WSPs.
- Advance knowledge and expertise of industry regulations and firm policies.
- Consultant on firm offered products, asset allocation strategies, and investment solutions for clients, to ensure alignment with industry regulation and firm investment philosophy.
- Guide Branch Teams in building a successful and compliant business.
- Influence and lead discussion on compliance topics with Branch Teams, Regions, and stakeholders across the firm.
- Represent the firm through direct contact with clients to discuss account activity and confirm understanding of risks and benefits in relation to industry regulation and firm investment philosophy.
- 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 4 months of hire
- Preferred Requirements:
· Insurance license
· General knowledge of compliance or industry experience
· Bachelor's degree in business-related field - Candidates that live within in a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday.
- 100 Best Workplaces for Millennials in 2022, published Fortune July 2022, Great Places to Work® data as of March 2022. Compensation provided for using, not obtaining, the rating.
- Edward Jones was recognized as one of the Best Workplaces for Millennials by Great Places to Work® and Fortune® magazine. The privately held firm ranked No. 2 overall, in its fourth appearance on the list.
- 2022 Fortune Best Workplaces for Women, published September 2022, research by Great Places to Work®, data as of August 2021. Compensation provided for using, not obtaining, the rating.
- Edward Jones has been named to the 2022 Best Workplaces for Women list by Great Places to Work® and Fortune® magazine, ranking No. 45.
- 2022 Fortune's 100 Best Companies to Work For, published April 2022, research by Great Place to Work®, data as of August 2021. Compensation provided for using, not obtaining, the rating.
- For the 23rd time, Edward Jones has earned a spot on the Fortune 100 Best Companies to Work For® ranking by Great Places to Work® and Fortune® magazine. Edward Jones ranked No. 35 on the prestigious 2022 list.
- 2022 Best Places to Work For LGBTQ Equality, Great Place to Work® in partnership with Human Rights Campaign Foundation, published Equity Magazine January 2022, data as of July 2021. Compensation provided for using, not obtaining, the rating.
- Edward Jones scored 100 percent on the Human Rights Campaign Foundation's 2022 Corporate Equality Index (CEI) the nation's foremost benchmarking survey and report measuring corporate policies and practices related to LGBTQ workplace equality. The ranking designated Jones as one of the best places to work for LGBTQ Equality.
Edward Jones does not discriminate on the basis of race, color, gender, religion, national origin, age, disability, sexual orientation, pregnancy, veteran status, genetic information or any other basis prohibited by applicable law.
At Edward Jones, we value and respect our associates and their contributions, and we recognize individual efforts through a rewards program that promotes a long-term career, financial security and well-being. Visit our career site to learn more about our total compensation approach, which in addition to base salary, typically includes benefits, bonuses and profit sharing. The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors for a potential new associate:
Salary: $68105 - $112305
Category: Headquarters
About the Company:
EDWARD JONES
Edward Jones is unlike any other investment firm. We believe that everything from our client-focused guiding principles, business philosophy and model, 33,000 dedicated associates, and our more than 10,000 branch offices throughout the U.S. and through our affiliates in Canada and the U.K make us unique. We are a leader in the financial services industry, yet we take a personal approach to business that starts with a face-to-face meeting between a Financial Advisor and an individual investor.
Every aspect of our business – from the location of our offices to the investments and services we offer – is aligned to help us better understand and meet our clients' unique needs. We strive to best serve our clients while providing our associates with the tools and resources they need to achieve more in their careers and lives. As the largest financial services firm to maintain a partnership structure, everyone feels a shared sense of purpose and accomplishment, and all full-time associates (whether they work at our headquarters or a branch office) have the opportunity to earn ownership in the firm. Edward Jones has been named to FORTUNE magazine's "100 Best Companies to Work For" list nine times with six top 10 finishes, including the No.4 ranking in 2008.
Search for jobs to learn more about our exciting Financial Advisor, Headquarters, Branch Office Administrator and Internship openings.
Company Size:
10,000 employees or more
Industry:
Financial Services
Founded:
1922
Website:
http://careers.edwardjones.com/us/index.html
Salary : $68,105 - $112,305
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