Compliance Officer 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 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.

Do you enjoy helping others learn and solve problems? If so, there is an exciting career opportunity waiting for you in our Compliance Service Department!  

The Compliance Service Department's purpose is to serve as the primary resource for branch teams and home office areas to know and apply compliance policies that enable and accelerate the branch team and client experience. The department is primarily responsible for providing guidance on general Compliance policies and processes in response to inquiries from branch teams and home office associates, via phones, Service Requests and other tools or systems.

Compliance Officers have relative autonomy to resolve routine to semi-complex issues which require interpretation of policies, procedures, or regulations.  Associates utilize seasoned judgment to identify and know when an issue needs to be escalated for further review or action to branch teams or clients. This may include associates acting as an intermediary with branches and other departments within the firm to resolve problems. 

Responsibilities of the role require interaction that will impact branch teams, and other home office areas while promoting a culture of compliance.  Associates use conflict management, effective communication and problem-solving skills with financial advisors, branch staff, leaders, peers and others in the firm. Project involvement supports efficiencies for branch, home office users and client needs.

Key Responsibilities:

·Provide guidance on general Compliance policies and processes in response to inquiries from branch team and home office associates, via phones, Service requests and other tools or systems; common support topics include: 

• Communication with the public: social media, text messaging, sales correspondence, advertising, speaking engagements, FA bios and invitations


• Custodial Account disbursements and Rule 3210


• Support of general topics for Branch Audit and Record retention and Compliance manual policies

· Continually tailor solutions to various audiences in a fast-paced autonomous environment while quickly identifying branch needs and providing proper solutions

· Independently identify trends and patterns in contacts from branch and home office associates to develop a plan if follow-up or escalation is required 

· Identify, educate, and communicate potential concerns to branch teams or home office associates 

· Provide input into training and assist with job observations

· Contribute to team project work 

· Work in partnership with internal business areas to identify opportunities for policy revisions in alignment with a culture of compliance

· Develop skills for transition to role requiring broader compliance responsibility Required:

•    Required to hold 7 and 66 licenses (or equivalent) 

•    Series 9, 10 and 24 licenses available for development but may be required for advancement opportunities 

•    Strong judgment and decision making skills

•    Excellent written and verbal communication skills

•    Ability to use conflict management and problem solving skills with financial advisors, branch staff, leaders, peers and others in the firm

•    Ability to function independently and work collaboratively in a team environment

•    Ability to take ownership and see problems through to resolution

•    Proactively seek opportunities to improve processes

•    Experience providing guidance or support to peers

•    Availability for a shift during the hours of 8-5 PM (CST)

Preferred:

•    Bachelor's degree or equivalent work experience

•    One to two years of compliance or industry experience

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