Field Compliance Director – Risk & Regulatory Leader

Edward Jones; Tempe (AZ); On-site; USD 110,000 - 170,000; Full time

Job summary

Edward Jones is seeking a Field Supervision Director in Tempe, AZ to enforce compliance, regulate branch activities, and support client-focused supervision. You will work with Branch Teams to uphold firm policies, and ensure regulatory alignment while guiding strategic oversight and risk management.

Qualified candidates hold active Series 7 and Series 9/10/24/66 licenses (or obtain within 4 months), a business-related Bachelor's degree, and are willing to travel for supervision visits and

Qualifications

• Active Series 7 license for at least one year.
• Licenses Series 9, 10, 24 and 66 required or must be obtained within 4 months of hire.

Responsibilities

• Enforce firm and regulatory compliance rules and policies for assigned Branch Teams.
• Prevent, detect, and mitigate risk to clients, the firm, and Branch Teams by examining client account activity, identifying suitability concerns, and evaluating Branch business.
• Judgment making is evidenced in supervisory records and subject to regulatory scrutiny.
• Partner with leadership to provide input and guidance on establishing and maintaining firm WSPs.
• Advance knowledge and expertise of industry regulations and firm policies.
• Consult firm offered products, asset allocation strategies, and investment solutions for clients to ensure alignment with regulation and philosophy.
• Guide Branch Teams in building a compliant business.
• Influence and drive discussion on compliance topics with Branch Teams and stakeholders.
• Represent the firm in client discussions about account activity and risk/benefit awareness.

Skills

Series 7 license

Series 9/10/24/66 licenses

Bachelor's degree

Education

Bachelor's degree in business-related field

Job description

Edward Jones is seeking a Field Supervision Director in Tempe, AZ to enforce compliance, regulate branch activities, and support client-focused supervision. You will work with Branch Teams to uphold firm policies, and ensure regulatory alignment while guiding strategic oversight and risk management.

Qualified candidates hold active Series 7 and Series 9/10/24/66 licenses (or obtain within 4 months), a business-related Bachelor's degree, and are willing to travel for supervision visits and