Field Supervision Director - Primary
Edward Jones
- Arizona Saint Louis, MO
- Permanent
- Full-time
- Enforce firm and regulatory compliance rules and policies for assigned Branch Teams.
- Prevent, detect, and mitigate risk to clients, the firm, and Branch Teams by examining client account activity, identifying suitability concerns, and evaluating Branch business.
- Judgment making is evidenced in supervisory records and subject to regulatory scrutiny.
- Partner with leadership to provide input and guidance on establishing and maintaining firm WSPs.
- Advance knowledge and expertise of industry regulations and firm policies.
- Consultant on firm offered products, asset allocation strategies, and investment solutions for clients, to ensure alignment with industry regulation and firm investment philosophy.
- Guide Branch Teams in building a successful and compliant business.
- Influence and drive discussion on compliance topics with Branch Teams, Regions, and various stakeholders across the firm.
- Represent the firm through direct contact with clients to discuss account activity and confirm knowledge of risks and benefits in relation to industry regulation and firm investment philosophy.
- Travel may be required for Branch Team supervisory visits, regulatory examinations or events, and compliance related matters.
- Series 7 license required that is currently active and held for a minimum of one year
- Series 9, 10, 24, and 66 licenses are required or must be obtained within 4 months of hire
- Preferred Requirements:
· General knowledge of compliance or industry experience
· Bachelor's degree in business-related field
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.Salary InformationAt Edward Jones, we value and respect our associates and their contributions, and we recognize individual efforts through a rewards program that promotes a long-term career, financial security and well-being. to learn more about our total compensation approach, which in addition to base salary, typically includes benefits, bonuses and profit sharing. The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors for a potential new associate: