Compliance Officer II: Training & Policy Lead

Edward Jones; Tempe (AZ); On-site; USD 90,000 - 130,000; Full time

Benefits offered by this job

Medical benefits

Dental benefits

Vision benefits

401k retirement plan

Bonuses / profit sharing

Job summary

Edward Jones is seeking a Compliance Officer II in Tempe, AZ to educate teams on policies, interpret regulations, and support the training program. You will help branches and home office understand compliance requirements and escalate issues when needed.

Ideal candidates bring a Series 7, 66, 9, and 10, plus 2+ years of compliance experience. This role emphasizes collaboration across departments and a proactive approach to regulatory changes.

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.

Responsibilities

• Provide education and training on general Compliance policies and processes; answer inquiries via phones and other tools
• Coordinate with branch teams and home office to ensure policy understanding and compliance
• Coach and develop team members; assist in training materials and department communications
• Support small department projects and collaborate with internal business areas to update policies and processes
• Assist with oversight, monitoring, and workflow assignments as needed

Skills

Bachelor's degree

Series 7 license

Series 66 license

Series 9 and 10 licenses

Series 24 license available

2+ years compliance experience

Education

Bachelor's degree or equivalent

Job description

Edward Jones is seeking a Compliance Officer II in Tempe, AZ to educate teams on policies, interpret regulations, and support the training program. You will help branches and home office understand compliance requirements and escalate issues when needed.

Ideal candidates bring a Series 7, 66, 9, and 10, plus 2+ years of compliance experience. This role emphasizes collaboration across departments and a proactive approach to regulatory changes.