What are the responsibilities and job description for the Senior Compliance Advisor 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.
Capital Markets and Operations Compliance
Capital Markets and Operations Compliance is responsible for providing regulatory and compliance guidance to the business areas of the firm regarding trading and operational functions.
Senior Compliance Manager - Equity Trading
This department seeks a qualified individual to serve as a Senior Compliance Manager to provide compliance support for the firm's equity trading and related operations areas.
Key Responsibilities:
Capital Markets and Operations Compliance is responsible for providing regulatory and compliance guidance to the business areas of the firm regarding trading and operational functions.
Senior Compliance Manager - Equity Trading
This department seeks a qualified individual to serve as a Senior Compliance Manager to provide compliance support for the firm's equity trading and related operations areas.
Key Responsibilities:
- Partner closely with the firm's equity trading area to provide timely advice and guidance to ensure the firm's trading and operational practices are compliant with applicable laws, regulations, and internal policies and procedures
- Foster training, education and communication programs for integration across the firm relative to compliance within the trading and related operations areas
- Remain informed of new and existing related regulations and industry enforcement actions in order to evaluate potential impacts to the firm
- Investigate process gaps and negative findings discovered through oversight reviews and/or regulatory inquiries; identify corrective measures and monitor remediation of findings
- Integrate regulatory and compliance requirements into all procedures, processes, products, services and systems
- Knowledge of firm policies and procedures, as well as industry rules and regulations, including but not limited to 15c3-5 Market Access, Best Execution, 605/606 Reporting and Consolidated Audit Trail (CAT).
- Series 7 is required. Series 53, 66, 9, 10 and 24 must be obtained within 12 months of hire if not already held.
- Minimum 5 years securities industry experience with at least 3 years in a compliance capacity or similar experience.
- Understanding and broad knowledge of retail investment products and services
- Ability to interpret existing and emerging regulation and identify its impact on firm procedures
- Self-starter with strong conflict management, problem-solving, project management and independent decision-making skills
- Strong writing and interpersonal skills, due to frequent communication with multiple areas and senior leaders of the firm
- Proficiency at writing reports and using system tools for clear and concise presentation and distribution to senior leaders
- Bachelor's degree preferred.
- 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: $92984 - $158325
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 : $92,984 - $158,325
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