Head of Complex Products Supervision & Compliance

Edward Jones

Tempe, St. Louis (AZ, MO)

Hybrid

USD 120,000 - 180,000

Full time

4 days ago

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Benefits offered by this job

401k retirement plan

Health savings account

Flexible spending account

Paid holidays

Vacation days

Bonuses and profit sharing

Employee Assistance Program

Medical and prescription drug coverage

Dental insurance

Vision insurance

Job summary

Edward Jones is seeking a Complex Products Field Supervision Director in Tempe, AZ. Lead a team ensuring robust oversight of complex investment products and regulatory compliance, while partnering with branch offices and internal departments.

You will direct project work, refine supervisory policies, and mentor the team to stay ahead of industry trends. A strong regulatory background and securities knowledge are essential for this leadership role.

Qualifications

6+ years supervising and/or leading teams in investment product environments.
Comprehensive knowledge of securities products and related regulations.
Licensing requirements: Series 7 & 66; Series 9 & 10; insurance license or able to obtain within 4 months.

Responsibilities

Oversee Complex Products Supervision Team to ensure timely reviews and guidance.
Direct complex supervisory decisions using firm policies and regulatory standards.
Lead projects aligning supervision with evolving regulatory demands and policies.
Develop training expectations to keep the team current on products and trends.
Interface with senior management to influence decisions and set expectations.