Compliance Officer II 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 understand and apply compliance policies that enable and accelerate the branch team and client experience. The department provides 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 understand 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.  

A Compliance Officer II has a relatively broad responsibility to deal with more complex situations which have implications for customers and/or business stakeholders.  Associates assist in the creation and implementation of training materials as well as department, division, and firm communications related to compliance matters. They assist in the coaching and development of other team members. Project work often involves process improvement or investigation of business/regulatory changes.

Key Responsibilities:

· Provide education and training 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

· Identify trends and patterns in branch and home office contacts to establish if follow-up or escalation is required and act as an escalation point for Compliance Officer I

· Coach, educate and communicate potential concerns for general compliance or compliance manual policies to team members, branch teams and home office associates 

· Staff the assist line in support of development and training of new associates

· Provide input into training and assist with observation and coaching to CSO and COI

· May lead small department projects or act as a subject matter expert

· Work in collaboration with internal business areas within the firm to drive policy revisions and updates

· May assist with oversights, monitoring, and assignment of workflow

  Required Qualifications:

•    SIE exam/Series 7 Top Off or Series 7 and Series 66 licenses

•    Series 9 and 10 or must be obtained within 6 months of hire

•    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 Qualifications:

•    Bachelor's degree or equivalent work experience

•    Prior compliance experience in the financial services industry

•    Project leadership or involvement with documented results

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