Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.
Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is working to make the firm better together - as they grow as individuals. If these words resonate with you, we should talk.
Job Overview
Position Schedule: Full-Time
In this role, you will lead a team of compliance professionals and attorneys to support the continued growth of Edward Jones' investment advisory business and our commitment to helping serious, long-term investors achieve their financial goals. Your primary responsibilities will focus on maintaining and continually evolving our compliance program for a suite of discretionary and client-directed fee-based advisory offerings currently comprised of 5+ million accounts totaling more than $830 billion AUC. You will also be responsible for prioritizing numerous complex efforts simultaneously, while leading your team and partnering with other senior stakeholders to create innovative approaches to successfully achieve optimal solutions for our clients and branch teams. Additionally, you need a growth and adaptability mindset, strong collaboration skills, and the ability to foster meaningful and deep relationships across the organization. You will need to demonstrate strong leadership and achieve results through others.
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Responsibility Summary:
• Lead team of attorneys and compliance officers providing wide-ranging guidance & compliance support to peers and leaders throughout EDJ to maintain & evolve the Firm's Compliance programs
• Interprets & continually develop in-depth knowledge of laws, rules & regulations and best practices
• Act as resource for firm strategy, knowledge and interpretation of rules, and potential rule changes as it relates to area of expertise and translate to strategic initiatives within various business areas
• Perform as SME on most advanced topics including tools/client solutions, may include providing expertise for content development and acting as SME for formal training programs
• Responsible for developing associates on the team
• Represent and/or lead department on division and firm committees/projects
Edward Jones' compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage. Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates. Edward Jones offers a 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account. Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing. All associates are eligible for the firm's Employee Assistance Program. For more information on the Benefits available to Edward Jones associates, please visit our benefits page.
Hiring Minimum: $140400
Hiring Maximum: $239100
Read More About Job Overview
Skills/Requirements
Education/Certification:
• Bachelors degree required
• Advanced degree (e.g. MBA, CPA, CFA) preferred
• Licensing: Series 7,24,66 required within 12 months of hire (other may be required)
• 7+ years of experience in respective area or financial services industry
Functional Knowledge:
• Leadership experience and skills
• Excellent verbal and written communication skills, ability to make complex information easy to understand
• Technical aptitude and analytical/critical thinking skills
• Highly collaborative
Problem Solving:
• Problems are complex and non-routine. Must be able to identify and propose solutions in gray areas where little or no guidance is available, on a daily basis
• Ability to thoroughly understand and analyze complex issues from multiple points of view to identify the best possible outcome for our clients and the Firm
• May need to handle the most complex branch or client situations and may give advice related to multi-faceted investment, retirement, estate, business planning, tax and/or regulatory issues
• Acts as an intermediary with business areas supported, product partner/vendors or other departments within the firm to resolve complex problems
Decision Making:
• Decisions are complex and non-routine. Must be able to make difficult decisions in gray areas where little or no guidance is available on a daily basis
• Decisions require the ability to recognize special situations or individual circumstances, and take appropriate
Actions (degree of complexity is magnified by the wide array of firm projects and services and the evolving regulatory environment)
• Decisions involve expert ability to identify communication strategies, branch training, and opportunities to leverage key relationships
• Extensive knowledge of precedent, procedure and guidelines, and of internal policies and procedures related to the area of the business supported is needed to make decisions and give guidance to financial advisors who have clients with complex needs
• Decisions are made by applying knowledge of law and regulation to complex systems, and processes to provide compliance and regulatory guidance
• Most decisions will require a high degree of research, and use of various systems and product knowledge
Span of Influence:
• Extensive Impact, poor decisions or execution could have negative impact on firm projects and strategies, raise serious compliance issues and subject the firm to regulatory action or client arbitration suits, firm's reputation could be adversely affected
• Actions or inaction can cause financial, regulatory, legal, and reputation risk for years into the future
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Awards & Accolades
At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received.
Check out our U.S. awards and accolades: Insights & Information Blog Postings about Edward Jones
Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones
Read More About Awards & Accolades
About Us
Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 9 million clients and 20,000 financial advisors across the U.S. and Canada, we're proud to be privately-owned, placing the focus on our clients rather than shareholder returns.
Behind everything we do is our purpose: We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging.
People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start or build your career.
View our Purpose, Inclusion and Citizenship Report.
¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.
Edward Jones does not discriminate on the basis of race, color, gender, religion, national origin, age, disability, sexual orientation, pregnancy, veteran status, genetic information or any other basis prohibited by applicable law.
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