Senior Director, Complex Products Compliance

Edward Jones; Tempe (AZ); Hybrid; USD 150,000 - 230,000; Full time

Job summary

Edward Jones in Tempe, AZ seeks a seasoned Complex Products Field Supervision Director to lead a team providing compliance support for branch offices and internal departments. The role oversees supervision of complex products including alternative investments, structured notes, options, and crypto-related offerings, guiding policy, training, and risk oversight in line with firm and regulatory standards.

Candidates should have 6+ years of supervisory experience, strong licenses, and a bachelor's

Qualifications

• 6+ years supervising teams handling complex investment products
• Series 7 & 66 required (or equivalent)
• Series 9 & 10 (or equivalent), 24, and insurance license required (or obtained within 4 months of hire)
• Extensive securities product knowledge and regulatory understanding
• Bachelor’s degree or equivalent industry experience
• Additional training to support onboarding of new products

Responsibilities

• Oversee the performance of the Complex Products Supervision Team ensuring timely and complete reviews and support
• Utilize expertise of firm compliance policies and industry regulations to strategically direct complex supervisory decisions
• Manage and implement complex projects to ensure firm business and supervision evolve with regulatory demands
• Develop and evolve training expectations to keep team knowledgeable on complex products and trends
• Perform risk oversight of designated principals ensuring alignment with policies and procedures
• Interface with senior management to provide clarity and influence decisions
• Establish performance expectations to ensure supervision is reasonable and client-focused
• Attract and retain a diverse team to meet business goals
• Mentor and coach team on identifying trends and guiding next steps in supervision
• Engage associates to foster a growth mindset and developmental planning
• Foster partnerships by influencing discussions with Branch Teams and stakeholders
• Represent the firm as a leader in industry conferences, legal proceedings, and regulatory matters
• Advise on complex product offerings and supervise related activities
• Authorize and reconcile routine and non-routine expenses and reimbursements
• Enforce Written Supervisory Procedures (WSPs)

Skills

Leadership

Analytical

Decision-making

Regulatory knowledge

Education

Bachelor’s degree or equivalent

Job description

Edward Jones in Tempe, AZ seeks a seasoned Complex Products Field Supervision Director to lead a team providing compliance support for branch offices and internal departments. The role oversees supervision of complex products including alternative investments, structured notes, options, and crypto-related offerings, guiding policy, training, and risk oversight in line with firm and regulatory standards.

Candidates should have 6+ years of supervisory experience, strong licenses, and a bachelor's