Field Compliance Lead – FINRA Oversight

Edward Jones; St. Louis (MO); On-site; USD 85,000 - 120,000; Full time

Benefits offered by this job

Medical and prescription drug benefits

Dental benefits

Vision benefits

401k retirement plan

Paid holidays

Job summary

Edward Jones in the United States is seeking Field Supervision Officers to promote a culture of compliance and protect client interests. The role involves supervising branch activity, reviewing electronic communications, and delivering training to teams across offices.

Ideal candidates hold active Series 7 and are prepared to obtain Series 9, 10, 24, and 66 within four months of hire, with a focus on supporting compliant client service and firm policies at the Tempe, AZ and St. Louis, MO offices.

Qualifications

• Series 7 license active and held for at least 1 year.
• Must obtain Series 9, Series 10, Series 24 and Series 66 within 4 months of hire.
• Bachelor's degree or equivalent experience preferred, but not required.

Responsibilities

• Review non-supervisory and basic supervisory client and branch activity to identify fraudulent or manipulative activity.
• Review electronic communication for branch teams and home office associates.
• Verify account information and accuracy through contacts with clients and branch teams.
• Identify supervisory issues, trends, and potential concerns in branch activity and communicate them to clients, Financial Advisors, and home office associates.
• Develop and deliver training, coaching and feedback.

Skills

Series 7 license

Series 9 license

Series 10 license

Series 24 license

Series 66 license

Education

Bachelor's degree or equivalent experience

Job description

Edward Jones in the United States is seeking Field Supervision Officers to promote a culture of compliance and protect client interests. The role involves supervising branch activity, reviewing electronic communications, and delivering training to teams across offices.

Ideal candidates hold active Series 7 and are prepared to obtain Series 9, 10, 24, and 66 within four months of hire, with a focus on supporting compliant client service and firm policies at the Tempe, AZ and St. Louis, MO offices.