Field Supervision Director - Primary

Edward Jones; St. Louis (MO); On-site; USD 120,000 - 180,000; Full time

Benefits offered by this job

Medical and prescription drug coverage

Dental coverage

Vision coverage

Short/long-term disability

Basic life & AD&D

401k retirement plan

Health Savings Account

Paid holidays and vacation

Bonus potential and profit sharing

Employee assistance program

Job summary

Edward Jones is seeking a Field Supervision Director to help enforce regulatory rules and support compliant branch operations. You will review client activity, advise on investment solutions, and guide branches to align with industry standards while partnering with leadership to strengthen firm policies.

Ideal candidates will hold active Series licenses, have regulatory knowledge, and be able to work with cross-functional teams to ensure client interests remain paramount.

Qualifications

• Active Series 7 license (minimum 1 year) required.
• Series 9, 10, 24 and 66 licenses required or to be obtained within 4 months.
• Bachelor's degree in business-related field preferred.

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.
• 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 on firm offered products, asset allocation strategies, and investment solutions for clients.
• Guide Branch Teams in building a compliant business.
• Influence and drive discussion on compliance topics across stakeholders.

Skills

Regulatory knowledge

Risk assessment

Stakeholder communication

Analytical thinking

Team collaboration

Education

Series 7 license (active, ≥1 year)

Series 9/10/24/66 licenses (required or within 4 months)

Bachelor's degree in business-related field

Job description

This job posting is anticipated to remain open for 30 days, from 18-Sep-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 (https://careers.edwardjones.com/blog/edward-jones-releases-annual-purpose-inclusion-and-citizenship-report/?codes=DIRECT&utm_source=DIRECT) .

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

Do you enjoy putting pieces together to know the bigger picture and partnering to solve complex issues? If so, there is an exciting career opportunity waiting for you in our Field Supervision Department!

The Field Supervision Department plays a critical role in achieving the Compliance Division's purpose of promoting our client's best interests and options by partnering to improve our culture of compliance and enable the best experience for all. Our associates are our greatest asset, and the opportunity to increase our client impact is directly related to our success in attracting, retaining, and developing a talented and diverse workforce.

Field Supervision Directors are registered with FINRA as designated supervisory principals to enforce firm and regulatory compliance rules and policies over assigned branch offices. Compliance Field Supervisors utilize extensive electronic processing systems and exception reports to complete the supervision of and provide help to branch offices regarding client activity, firm policies, and industry regulations.

What You'll Do:

• 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.

• Consultant on firm offered products, asset allocation strategies, and investment solutions for clients, to ensure alignment with industry regulation and firm investment philosophy.

• Guide Branch Teams in building a successful and compliant business.

• Influence and drive discussion on compliance topics with Branch Teams, Regions, and various stakeholders across the firm.

• Represent the firm through direct contact with clients to discuss account activity and confirm knowledge of risks and benefits in relation to industry regulation and firm investment philosophy.

• Travel may be required for Branch Team supervisory visits, regulatory examinations or events, and compliance related matters.

What Experience You'll Need:

• Series 7 license required that is currently active and held for a minimum of one year

• Series 9, 10, 24, and 66 licenses are required or must be obtained within 4 months of hire

What Could Set You Apart:

• Insurance license

• General knowledge of compliance or industry experience

• Bachelor's degree in business-related field

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 (https://careers.edwardjones.com/blog/?_sft_category=awards-accolades)

Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones (https://careers.edwardjones.com/en-CA/blogs/?_sft_category=awards-accolades-en-ca)

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 (https://secure.edwardjonesbenefits.com/fleet/public/index/f914262d-0362-4682-bd1e-0ccd25f1dfb1) .