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Senior Compliance Officer - Oversight - St. Louis, MO at Edward Jones in St. Louis, Missouri

Posted in Accounting 30+ days ago.

This job brought to you by eQuest

Type: Full-Time

Job Description:

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 14,000+ branch offices where our more than 7 million clients live and work.

A typical branch office has one financial advisor who meets with clients face-to-face and one branch office administrator who enhances the team's ability to build deep relationships with clients. Headquarters associates in St. Louis and Tempe provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. Edward Jones currently has more branch offices than any other financial services firm, and we continue to grow to meet the needs of long-term individual investors.

Key Responsibilities:

  • Conduct U.S. or Canadian firm-wide audits to review, test, and measure the effectiveness of firm's supervisory procedures, documentation, and supervisory evidence of those procedures in order to ensure compliance with regulations and regulatory guidance.

  • Provide written and verbal guidance to business owners regarding the regulatory requirements for the components of a written supervisory procedure (WSP), the adequacy of a supervisory procedure, and how to evidence a leader's supervisory procedure.

  • Identify, track, audit, and evaluate regulated home office Books and Records for appropriate retention period and business area ability to produce the records within an acceptable time period.

  • Read and interpret existing or proposed industry regulations to identify the firm impact and reconcile whether the firm's supervisory procedures or books and records meet those requirements.

  • Provide guidance on any supervisory control issues identified and develop and recommend individual corrective actions to the responsible leaders and principals by written and verbal report.

  • Obtain and track business area responses to test recommendations. Provide guidance to business owners on the remediation of WSP findings. Conduct follow-up audits (remediation testing) to ensure corrective action has been taken. Communicate remediation findings and/or recommendations.

  • Frequent interaction and direct coordination with external consultants, the Internal Audit Department, and the leaders and principals of almost all business areas of the firm.

  • Conduct risk assessment meetings with principals and assist in leading the annual risk ranking of the firm's supervisory procedures.

  • Three years of audit, risk management, or compliance experience required.

  • Series 7, 9, 10, 24, 66, and insurance licenses required or must be obtained post hire.

  • CIA (Certified Internal Auditor) Designation preferred.

  • Ability to identify risk and interpret existing and emerging regulation and identify its impact on firm procedures required.

  • Strong interpersonal skills, due to frequent communication with multiple areas and senior leaders of the firm, required.

  • Proficiency writing reports clearly and concisely for presentation and distribution to senior leaders.

  • Proficiency in public speaking.

  • Excellent verbal and written communication skills required.

  • Knowledge and proficiency using system tools, in particular Microsoft Excel and/or Apex.

  • Bachelors degree strongly preferred.