Senior Compliance Officer

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

Responsible to the Department Leader, Compliance, the Senior Compliance Officer - Conflicts of Interest (COI) is responsible for identifying and implementing strategies intended to mitigate the firm's regulatory and financial risks related to conflicts of interest. The Senior Compliance Officer-COI is additionally responsible for the development, implementation, ongoing supervision and management of the Conflicts of Interest program to meet internal standards and regulatory requirements and expectations. This role will also provide meaningful support to the overall health of the compliance program policies and workflows.

• Business Promotions and Sponsorships
  • Supervisory functions related to:
    • the review of business promotion and sponsorship requests with the authority to approve and/or reject requests
    • the review of gifts and entertainment records and reports
  • Identification of potential issues and/or trends and patterns and effectively addressing observations and compliance concerns with appropriate stakeholders, as deemed necessary.
  • Provision of comprehensive regulatory guidance and advice, interpretations, and support to business partners, branch teams, and stakeholders by educating on internal requirements and regulatory expectations.
  • Collaboration with product partners to assess accuracy of compliance reports, stay abreast of industry practices, and identify and effectively address potential issues.

• Conflicts of Interest Repository and Assessments
  • Compliance monitoring, assessment and reporting of compliance risks related to conflicts of interest
  • Partnership with all levels of leaders and associates to ensure ongoing compliance with expectations regarding the reporting, handling, and mitigation of conflicts of interest
  • Maintenance of all conflicts of interest records and analysis of data submitted or reported by business partners, which includes an assessment of materiality for each identified conflict and ongoing reporting to the Partner responsible for the Compliance and Supervision division.
  • Provision of strategic guidance and direction to all levels of leaders and associates on the handling of and proposed mitigation strategies for identified conflicts of interest.

• Conflicts of Interest Program
  • Promotion of a culture of compliance and ethical behaviours
  • Development, implementation, and maintenance of conflicts of interest policies, procedures, practices and training programs that are designed to promote ethical practices and mitigate risk.
  • Keeping abreast of regulatory efforts and developments related to the management of conflicts and effectively sharing this information with all stakeholders
  • Participation in and leading of special conflicts of interest projects from concept to completion
  • Proactive planning, development, monitoring, revision of the conflicts program, including compliance policies and procedures related to conflicts
  • Development, delivery and promotion of education and awareness programs to associates.

• Bachelor's degree preferred or relevant work experience required
• CSC and CPH, or qualifying exams for initial CIRO registration, required or must be obtained within 12 months of hire
• 7+yrs securities industry with a minimum of 3 yrs in a Compliance capacity experience required
• Demonstrated knowledge of and ability to interpret and apply relevant securities industry rules and regulations
• Demonstrated ability to analyze and resolve complex matters
• Exceptional judgment with demonstrated ability to appropriately assess risk in complex matters
• Strong verbal and written communication skills, with a demonstrated ability to influence key internal and external stakeholders, including senior leadership
• Excellent organizational and prioritization skills in a deadline-driven environment