Senior Compliance Officer — Training & Process Improvement

Edward Jones; Tempe (AZ); On-site; USD 90,000 - 130,000; Full time

Job summary

Edward Jones is seeking a Senior Compliance Officer in Tempe, AZ with a strong background in regulatory and compliance practices. The role focuses on guiding branch teams and home office areas, promoting a culture of compliance, and coaching others.

You will collaborate with stakeholders, drive process improvements, and prepare training materials for ongoing regulatory changes. Candidates should hold active licenses (Series 7) and have 3+ years of compliance experience plus 5+ years in the

Qualifications

• Bachelor's degree or equivalent experience required.
• Active Series 7 license (currently active and held for at least 1 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
• Strong written and verbal communication skills
• OE or process improvement experience preferred; candidates near Tempe, AZ or St. Louis, MO may work in the office four days per week

Responsibilities

• Uses knowledge of the industry, regulatory and compliance environment when making decisions.
• Builds relationships with compliance division stakeholders to identify and prepare for changes impacting clients and branch teams.
• Influences and contributes to firm, division or department efforts including training, coaching and feedback to maintain a strong learning environment and culture of compliance.
• Utilizes OE/process improvement to organize and facilitate small to mid-size projects and act as a subject matter expert.
• Identifies and analyzes insights and communicates trends to influence solutions that impact client experience delivery.

Skills

Regulatory compliance

Communication skills

Process improvement

Education

Bachelor's degree or equivalent experience

Job description

Edward Jones is seeking a Senior Compliance Officer in Tempe, AZ with a strong background in regulatory and compliance practices. The role focuses on guiding branch teams and home office areas, promoting a culture of compliance, and coaching others.

You will collaborate with stakeholders, drive process improvements, and prepare training materials for ongoing regulatory changes. Candidates should hold active licenses (Series 7) and have 3+ years of compliance experience plus 5+ years in the