Field Compliance Supervisor II

Edward Jones; Tempe (AZ); On-site; USD 65,000 - 90,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

401k retirement plan

HSA/FSA benefits

Paid holidays

Vacation days and sick leave

Employee assistance program

Job summary

Edward Jones is seeking a Compliance Field Supervisor in Tempe, AZ to support our Field Supervision Department. The role involves reviewing client and branch activity for fraud, monitoring electronic communications, verifying account information with clients and teams, and communicating findings to advisors and home office staff.

The position emphasizes training, coaching, and developing a culture of compliance while advancing client outcomes and associates' growth.

Qualifications

• Series 7 license that is currently active and has been held a minimum of one year
• Must obtain Series 9, 10, 24, and 66 within 4 months of hire
• Flexible Study Options: Full-time and/or part-time study available, based on departmental needs.
• Structured Exam Support: Access to coaching resources to help organize and optimize your study schedule.

Responsibilities

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

Job description

Edward Jones is seeking a Compliance Field Supervisor in Tempe, AZ to support our Field Supervision Department. The role involves reviewing client and branch activity for fraud, monitoring electronic communications, verifying account information with clients and teams, and communicating findings to advisors and home office staff.

The position emphasizes training, coaching, and developing a culture of compliance while advancing client outcomes and associates' growth.