Senior Compliance Officer - Training & Process Improvement

Edward Jones; Tempe (AZ); On-site; USD 95,000 - 150,000; Full time

Job summary

Edward Jones in Tempe, AZ is hiring a Senior Compliance Officer to guide branch teams and home office areas in applying compliance policies and navigating regulatory changes. You will train, coach, and support teams while driving process improvements to enhance the client experience.

The role requires a Series 7, 9/10/24/66 licenses (or timing to obtain), strong communication skills, and a track record in compliance with at least 3 years of experience in the financial services industry.

Qualifications

• Bachelor's degree or equivalent experience required.
• Series 7 license required and active for at least one year.
• Series 9, 10, 24, and 66 licenses required or must be obtained within 6 months of hire.
• Minimum 3 years of compliance experience.
• Minimum 5 years of industry experience.

Responsibilities

• Interact with branch teams and home office areas to understand and apply compliance policies.
• Provide training, coaching and feedback to create a learning environment and culture of compliance.
• Utilize 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 solutions for an ideal client experience.

Skills

Communication skills

Regulatory knowledge

Problem-solving

Education

Bachelor's degree or equivalent experience

Series 7 license

Series 9, 10, 24, 66 licenses

Job description

Edward Jones in Tempe, AZ is hiring a Senior Compliance Officer to guide branch teams and home office areas in applying compliance policies and navigating regulatory changes. You will train, coach, and support teams while driving process improvements to enhance the client experience.

The role requires a Series 7, 9/10/24/66 licenses (or timing to obtain), strong communication skills, and a track record in compliance with at least 3 years of experience in the financial services industry.