Hybrid Senior Compliance Leader - Policy & Training

Edward Jones; St. Louis (MO); Hybrid; USD 110,000 - 140,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

Disability insurance

Life insurance

401k plan

Health Savings Account

Job summary

Edward Jones is hiring a Senior Compliance Officer to support the Compliance Service Department. The role focuses on applying policy and regulatory guidance to improve the client and branch experience, including training and process improvement initiatives.

Ideal candidates will have 3+ years in compliance, 5+ years in the industry, and active Series 7; additional Series 9/10/24/66 licenses are required within 6 months of hire. The position may require travel between Tempe, AZ and St.

Qualifications

• Bachelor's degree or equivalent experience required.
• 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 6 months of hire.
• Minimum 3 years of compliance experience.
• Minimum 5 years of industry experience.
• Strong written and verbal communication skills.
• OE or process improvement experience preferred.

Responsibilities

• Uses knowledge of industry, regulatory and compliance environment to inform decisions.
• Build relationships with compliance stakeholders to anticipate changes impacting clients and branches.
• Provide training, coaching and feedback to foster a strong learning environment and culture of compliance.
• Utilize OE/process improvement to organize and facilitate small to mid-size projects and act as a subject matter expert.
• Identify insights and communicate trends to influence client-delivery improvements.

Skills

Regulatory compliance

Series 7 license

Series 9/10/24/66 licenses

Process improvement

Communication skills

Financial services

Education

Bachelor's degree

Job description

Edward Jones is hiring a Senior Compliance Officer to support the Compliance Service Department. The role focuses on applying policy and regulatory guidance to improve the client and branch experience, including training and process improvement initiatives.

Ideal candidates will have 3+ years in compliance, 5+ years in the industry, and active Series 7; additional Series 9/10/24/66 licenses are required within 6 months of hire. The position may require travel between Tempe, AZ and St.