Field Supervision Officer 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

This job posting is anticipated to remain open for 30 days, from 01-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.

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 understand the bigger picture and partner to solve complex issues? If so, there is an exciting career opportunity waiting for you in our Field Supervision Department!

Description:

The Field Supervision Department plays a critical role in achieving the Compliance Division's purpose of promoting our client's best interests and choices 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.

Key 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.

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.

Preferred Requirements:

• Insurance license is preferred
• General understanding of compliance or industry experience is preferred
• One to two years of compliance experience is preferred
• Bachelor's degree or equivalent experience is preferred, but not required

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

Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones

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.

Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act. Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf.