Senior Culture of Compliance Leader Consultant

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

Our culture of compliance is how we aspire to meet the highest professional, legal and ethical standards that build trust and confidence for our clients, colleagues and communities we serve. A commitment to modeling our core values and our culture of compliance by making the right decisions unites us to prevent and detect issues, strengthens deep trusted relationships and nurtures our ability to achieve our purpose.

• Ensures broad observance of ethics and conduct policy, and objectively monitors the decisions and conduct across the organization.
• Serve as the primary business consultant to lead the Regional Culture of Compliance Teams (CCL,CCB).
• Advise Leadership (field/home office) by building their acumen around industry and firm compliance trends, behaviors, and ethical standards.
• Advanced knowledge and expertise of industry regulations and firm policies.
• Serve as a peer leader to support team leadership and contribute to team development.
• Serve as interim leader to support Compliance Programs department.
• Foster enterprise DEI initiatives within the division, department, and team.
• Demonstrate expertise in building compliance strategies/activities
• Partner and influence leadership (field/home office) to achieve compliance outcomes
• Drive execution of culture of compliance strategies for Regional Culture of Compliance Teams (CCL,CCB) to embody ethical decision making.
• Lead inter-departmental and cross-divisional projects via design, testing, and implementation.
• Understand tools and resources that enable strengthening a Culture of Compliance.
• Communicate timely compliance opportunities and risks regarding shifts in the regulatory landscape and compliance trends/outcomes and behaviors.
• Identify opportunities and create narratives to innovate and improve systems and processes that impact clients, field leadership, branch teams, and the department.
• Candidates that live within in a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday.

• B.A/B.S. degree or equivalent industry experience required
• Series 7, 66

• Advanced degree in Business, Finance or related field experience a plus
• Series 24 a plus

• Minimum of 5 years' experience in the respective area or financial services industry and strong product knowledge.

• • Outstanding written and verbal communication skills including the ability to interact with general partners and other leaders in the home office and field.
  • Expert at influencing branches to integrate compliance strategies (tools, resources, and best practices) into their business to better meet client needs.
  • Strong skills in Microsoft tools including Outlook, Word, Excel, and PowerPoint.
  • Strong analytical skills for analyzing reports, trends and measurements and interpreting this data to identify risks and opportunities.
  • Broad understanding of Edward Jones structure and the support provided by the home office.
  • Able to apply knowledge of Edward Jones business model, philosophies, and values.
  • Demonstrates personal initiative and strong relationship building skills.
  • Demonstrates organization and time management skills to be able to meet deadlines.
  • Advanced knowledge of investment products and concepts, practices and procedures used in the investment industry.
  • Demonstrates ability to integrate and apply advance knowledge of business building ideas, communication strategies, training, and key relationships

• The problems faced are unique, intermediate to complex in level and non-routine.
• Ability to think critically and creatively at a high level to autonomously support complex concepts in a highly regulated and changing environment.
• Consistently demonstrates an advanced level ability to recognize a wide range of compliance situations from complex to simple and autonomously develop a customized consulting approach.
• High level of influence with individual branch teams, regional leadership teams and key stakeholders.
• Needs to thoroughly understand and analyze the issues from multiple stakeholder points of view to conclude the best possible outcome for branch teams, the department and division.
• Critical thinking skills and sound judgment are required.

• This position has responsibility for leading approx. 50 to 60 field leadership teams, across 5 to 7 Markets, including development of their region business plan objectives and measures.
• This position drives the firm's culture of compliance to ensure we are operating in an ethical way that inspires trust.
• This position is responsible for leading projects that will provide region leadership teams with the knowledge and skills to enhance their region's culture of compliance decision making.
• Poor decisions could be a threat to our firm's culture of compliance, resulting in unethical decision making around the firm.
• Will have informal and at times formal leadership responsibility and will aid in the development of others on the team to prepare for increasing responsibility.

• Routinely makes decisions without guidance that have firm and regulatory implications.
• The consultant needs to be able to identify compliance issues and trends.
• The consultant needs to be able to effectively communicate decisions to leadership (field/home office) that have firm and regulatory implications.
• Valued business partner throughout the firm where compliance decisions are complex and non-routine.
• The consultant must be able to autonomously make decisions and work independently to meet business and project goals while keeping necessary stakeholders and leaders updated on the progress.
• May serve as an interim team leader when necessary and act as a key decision maker when appropriate.

• 100 Best Workplaces for Millennials in 2022, published Fortune July 2022, Great Places to Work® data as of March 2022. Compensation provided for using, not obtaining, the rating.
  • Edward Jones was recognized as one of the Best Workplaces for Millennials by Great Places to Work® and Fortune® magazine. The privately held firm ranked No. 2 overall, in its fourth appearance on the list.
• 2022 Fortune Best Workplaces for Women, published September 2022, research by Great Places to Work®, data as of August 2021. Compensation provided for using, not obtaining, the rating.
  • Edward Jones has been named to the 2022 Best Workplaces for Women list by Great Places to Work® and Fortune® magazine, ranking No. 45.
• 2022 Fortune's 100 Best Companies to Work For, published April 2022, research by Great Place to Work®, data as of August 2021. Compensation provided for using, not obtaining, the rating.
  • For the 23rd time, Edward Jones has earned a spot on the Fortune 100 Best Companies to Work For® ranking by Great Places to Work® and Fortune® magazine. Edward Jones ranked No. 35 on the prestigious 2022 list.
  • 2022 Best Places to Work For LGBTQ+ Equality, Great Place to Work® in partnership with Human Rights Campaign Foundation, published Equity Magazine January 2022, data as of July 2021. Compensation provided for using, not obtaining, the rating.
    • Edward Jones scored 100 percent on the Human Rights Campaign Foundation's 2022 Corporate Equality Index (CEI) the nation's foremost benchmarking survey and report measuring corporate policies and practices related to LGBTQ+ workplace equality. The ranking designated Jones as one of the best places to work for LGBTQ+Equality.