Compliance Officer II

Edward Jones; Tempe (AZ); Sur place; USD 75 000 - 110 000; Plein temps

Avantages offerts par ce poste

Health benefits

401k plan

Paid holidays

Vacation & personal days

Employee Assistance Program

Résumé du poste

Edward Jones in Tempe, AZ is seeking a Compliance Officer II to support the Compliance Service Department and promote a culture of compliance. You will educate on policies, respond to inquiries from branch teams and home office associates, and help interpret regulatory requirements.

The role emphasizes problem-solving, escalation when needed, and collaboration with financial advisors and staff. A Series 7 and related licenses are required, with ongoing development, in a hybrid or on-site work

Qualifications

• Bachelor's degree preferred or equivalent work experience required.
• Series 7 license required that is currently active and held for a minimum of one year.
• Series 66, 9 and 10 licenses required within 6 months.
• Series 24 license available for development but may be required for advancement opportunities.
• 2+ years compliance experience strongly preferred.

Responsabilités

• Provide education and training on general Compliance policies and processes in response to inquiries from branch team and home office associates, via phones, written case requests and other tools or systems; common support topics include: social media and advertising, account disbursements, record retention and compliance manuals.
• Identify trends and patterns in branch and home office contacts to determine if follow-up or escalation is required and act as an escalation point for CO 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.

Connaissances

Bachelor's degree

Series 7

Series 66

Series 9

Series 10

Series 24

Compliance experience

Formation

Bachelor's degree

Description du poste

This job posting is anticipated to remain open for 30 days, from 27-Oct-2026. The posting may close early due to the volume of applicants.

Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 9 million clients and 20,000 financial advisors across the U.S. and Canada, we’re proud to be privately-owned, placing the focus on our clients rather than shareholder returns.

Behind everything we do is our purpose: We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging.

People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start or build your career.

View our Purpose, Inclusion and Citizenship Report.

¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.

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 individual 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 analysis of business/regulatory changes.

What You’ll Do

• Provide education and training on general Compliance policies and processes in response to inquiries from branch team and home office associates, via phones, written case 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 determine if follow-up or escalation is required and act as an escalation point for CO 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

What Experience You Will Need

• Bachelor's degree preferred or equivalent work experience required
• Series 7 license required that is currently active and held for a minimum of one year
• Series 66, 9 and 10 licenses required within 6 months
• Series 24 license available for development but may be required for advancement opportunities
• 2+ years compliance experience strongly preferred.

Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office four days per week.

At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received.

Check out our U.S. awards and accolades: Insights & Information Blog Postings about Edward Jones

Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones

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.

Edward Jones' compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage. Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates. Edward Jones offers a 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account. Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing. All associates are eligible for the firm's Employee Assistance Program. For more information on the Benefits available to Edward Jones associates, please visit our benefits page.