Senior Compliance Officer II — Training & Policy Leader

Edward Jones; St. Louis (MO); Hybrid; USD 85,000 - 110,000; Full time

Job summary

Edward Jones, a Fortune 500 financial services firm, seeks a Compliance Officer II to support branch teams and home office areas in applying compliance policies. You will provide guidance on inquiries via phones and tickets, and help interpret complex regulations across the firm.

The role emphasizes collaboration with internal departments, coaching colleagues, and developing training materials while moving policy revisions forward and ensuring consistent client and advisor experiences.

Qualifications

• Bachelor's degree preferred or equivalent work experience required.
• Series 7 license active and held for a minimum of one year.
• Series 66, 9 and 10 licenses required within 6 months.
• Series 24 license available for development but may be required for advancement opportunities.
• 2+ years compliance experience strongly preferred.

Responsibilities

• Provide education and training on general Compliance policies and processes in response to inquiries from branch teams and home office associates.
• Identify trends in branch and home office contacts to determine escalation needs and act as escalation point for COI.
• Coach and educate team members on compliance concerns and policies; assist in training and development.
• Support with staff assist line for development and training of new associates and participate in process improvements.

Education

Bachelor's degree or equivalent work experience

Tools

Series 7 license

Series 66 license

Series 9/10 licenses

Series 24 license

Job description

Edward Jones, a Fortune 500 financial services firm, seeks a Compliance Officer II to support branch teams and home office areas in applying compliance policies. You will provide guidance on inquiries via phones and tickets, and help interpret complex regulations across the firm.

The role emphasizes collaboration with internal departments, coaching colleagues, and developing training materials while moving policy revisions forward and ensuring consistent client and advisor experiences.