Team Leader - Asset and Electronic Communication Supervision at Edward D. Jones in St. Louis, Missouri

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.

The Asset and Electronic Communication Supervision team is responsible for the oversight and supervision of client and branch activity related to asset-based disclosures and reports, branch and home office electronic communications, and records management and production. This position would be responsible for leading a team of Field Supervision Officers and Senior Compliance Officer(s) who provide compliance support to our branch offices and internal departments. Key Responsibilities:

• Oversee the performance of a Field Supervision Asset and Electronic Communications Supervision Team


• Utilize expertise of firm compliance policies and industry regulations to strategically direct complex, supervisory and non-supervisory choices


• Complete risk oversight(s) of principals and other associates, evidenced in supervisory records, to ensure reasonable supervision is in alignment with firm and regulatory policies and procedures.


• Establish performance expectations to ensure supervision is reasonable, timely, and in the best interest of the client


• Attract, retain, and develop a diverse team to meet current and future business goals


• Mentor and coach team on identifying trends and patterns in branch and client activity while influencing next steps in progressive review and supervision.


• Engage associates to foster a growth mindset by supporting the planning and execution of a purposeful development plan


• Manage and implement complex projects to ensure firm business and supervision evolve with operational and regulatory demands


• Foster constructive partnerships by influencing and positively impacting discussions as a key judgment maker with Branch Teams and various stakeholders across the firm.


• Represent the firm as a mentor within the department during industry conferences, legal proceedings, and regulatory matters.


• Enforce and assist in establishing and maintaining firm Written Supervisory Procedures (WSPs)

• Series 7 & 66 (or equivalent) required (Series 7 must be held for a minimum of 2 years)


• Series 9 &10 (or equivalent), 24, and insurance license required (or must be obtained within 4 months of hire)


• Extensive securities product knowledge as well as knowledge of industry regulations, firm policies, and supervisory systems


• Leadership, data-based, investigative, and judgment-making skills are required

• Bachelor’s degree or equivalent industry experience


• Graduate level degree or additional industry certification(s) is preferred


• Able product knowledge as well as knowledge of both industry regulations and firm policies and supervisory systems


• Proven verbal and written communication skills


• Ability to provide effective coaching and feedback