What are the responsibilities and job description for the Senior Compliance Officer - Finance 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.
The Registration Department plays a critical role in achieving the Compliance Division's mission of promoting our clients' best interest while helping to ensure the firm remains in compliance with industry rules and regulations. Registration associates are responsible for executing all of the tasks and processes involved in providing and maintaining proper security registration for FAs, BOAs, HQ associates and branch offices. Key Responsibilities:
- Complete Firm Reconciliation daily tasks. Reconcile data between Edward Jones and regulators.
- Work in collaboration with project teams to understand the problem, define the approach, assemble the data, perform the analysis, generate insights, test and present actionable information back to the business.
- Use Excel to merge, cleanse and transform data from multiple sources as needed for research.
- Assist with monthly, quarterly, and annual invoices.
- Assist with Annual Financial Planning for multiple expense reports to include managing and projecting budgets.
- Complete written supervisory reviews.
- 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 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 run 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.
- Finance, Accounting, or similar degree required
- Required to hold series 7 and 66 (or equivalent)
- Must obtain series 9, 10, 24 within 6 months of hire
- Minimum 3 years of compliance or finance experience preferred
- Minimum 3 years of industry experience required
- Proven written and verbal communication skills
- OE or process improvement experience preferred
- 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:
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