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Posted : Monday, December 04, 2023 09:58 AM
Company Description
Jobs for Humanity is partnering with EDWARD JONES to build an inclusive and just employment ecosystem.
Therefore, we prioritize individuals coming from the following communities: Refugee, Neurodivergent, Single Parent, Blind or Low Vision, Deaf or Hard of Hearing, Black, Hispanic, Asian, Military Veterans, the Elderly, the LGBTQ, and Justice Impacted individuals.
This position is open to candidates who reside in and have the legal right to work in the country where the job is located.
Company Name: EDWARD JONES Job Description At Edward Jones, we help clients achieve their serious, long-term financial goals by understanding their needs and implementing tailored solutions.
To ensure a personal client experience, we have located our 15,000+ branch offices where our more than 7 million clients live and work.
In a typical branch office, a financial advisor meets with clients and receives branch office support, so they can focus on building deep relationships with clients.
Headquarters associates in St.
Louis, Tempe and Mississauga provide support and expertise to help U.
S.
and Canada branch teams deliver an ideal client experience.
We continue to grow to meet the needs of long-term individual investors.
The Field Supervision Department plays a critical role in achieving the Compliance Division's mission of promoting our clients' best interest while helping to ensure the firm remains in compliance with industry rules and regulations.
Supervisory responsibilities of the firm's branch offices are handled by teams in this department, which are centralized in the St.
Louis and Tempe home offices.
This Field Supervision Director position on the Asset and Electronic Field Supervision Team will be responsible for completing supervisory reviews of client and branch activity involving electronic communications and asset movement.
A key responsibility will be effectively managing and leading department efforts related to training and communications.
The ideal candidate must be able to initiate department improvements and effectively create and deliver training & communications for AECS associates.
Key Responsibilities: Effectively manage and lead department efforts related to training & communications Broad responsibility to deal with situations involving communications with the public, customer accounts, or firm policies, procedures and controls.
Impact of incorrect or inaccurate information could result in potential for customer complaint, arbitration, or regulatory risk/liability.
This role will deal with firm programs.
Risk of non-compliance can extend to sanctions and fines.
On a situational basis, this FSD role will investigate and resolve issues that could impact a Financial Advisor and/or firm policies and procedures, and are reportable to the regulators.
Identify trends and patterns in branch activity to figure out if follow-up or escalation is required or another area of Compliance or additional process improvements are needed Coach, educate and communicate potential concerns or supervisory issues to team members, clients, Financial Advisors and home office associates Develop and deliver training, coaching and feedback to FSO I, II, III Drive projects/testing, and act as a subject matter expert Work in collaboration with internal business areas within the firm Assist with oversights, monitoring and assignment of workflow Series 7 license that is currently active and has been held a minimum of one year Must obtain Series 9, 10, 24, and 66 within 6 months of hire Comprehensive knowledge and understanding of industry rules and regulations and supervisory issues 5+ years securities industry experience with minimum 3+ years in a compliance capacity strongly preferred Ability to interpret emerging regulation, identify and respond to the impact on Edward Jones products and processes Demonstrate strong conflict management and problem-solving skills Bachelor's degree or equivalent experience preferred, but not required Insurance license is preferred.
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 Wor
Therefore, we prioritize individuals coming from the following communities: Refugee, Neurodivergent, Single Parent, Blind or Low Vision, Deaf or Hard of Hearing, Black, Hispanic, Asian, Military Veterans, the Elderly, the LGBTQ, and Justice Impacted individuals.
This position is open to candidates who reside in and have the legal right to work in the country where the job is located.
Company Name: EDWARD JONES Job Description At Edward Jones, we help clients achieve their serious, long-term financial goals by understanding their needs and implementing tailored solutions.
To ensure a personal client experience, we have located our 15,000+ branch offices where our more than 7 million clients live and work.
In a typical branch office, a financial advisor meets with clients and receives branch office support, so they can focus on building deep relationships with clients.
Headquarters associates in St.
Louis, Tempe and Mississauga provide support and expertise to help U.
S.
and Canada branch teams deliver an ideal client experience.
We continue to grow to meet the needs of long-term individual investors.
The Field Supervision Department plays a critical role in achieving the Compliance Division's mission of promoting our clients' best interest while helping to ensure the firm remains in compliance with industry rules and regulations.
Supervisory responsibilities of the firm's branch offices are handled by teams in this department, which are centralized in the St.
Louis and Tempe home offices.
This Field Supervision Director position on the Asset and Electronic Field Supervision Team will be responsible for completing supervisory reviews of client and branch activity involving electronic communications and asset movement.
A key responsibility will be effectively managing and leading department efforts related to training and communications.
The ideal candidate must be able to initiate department improvements and effectively create and deliver training & communications for AECS associates.
Key Responsibilities: Effectively manage and lead department efforts related to training & communications Broad responsibility to deal with situations involving communications with the public, customer accounts, or firm policies, procedures and controls.
Impact of incorrect or inaccurate information could result in potential for customer complaint, arbitration, or regulatory risk/liability.
This role will deal with firm programs.
Risk of non-compliance can extend to sanctions and fines.
On a situational basis, this FSD role will investigate and resolve issues that could impact a Financial Advisor and/or firm policies and procedures, and are reportable to the regulators.
Identify trends and patterns in branch activity to figure out if follow-up or escalation is required or another area of Compliance or additional process improvements are needed Coach, educate and communicate potential concerns or supervisory issues to team members, clients, Financial Advisors and home office associates Develop and deliver training, coaching and feedback to FSO I, II, III Drive projects/testing, and act as a subject matter expert Work in collaboration with internal business areas within the firm Assist with oversights, monitoring and assignment of workflow Series 7 license that is currently active and has been held a minimum of one year Must obtain Series 9, 10, 24, and 66 within 6 months of hire Comprehensive knowledge and understanding of industry rules and regulations and supervisory issues 5+ years securities industry experience with minimum 3+ years in a compliance capacity strongly preferred Ability to interpret emerging regulation, identify and respond to the impact on Edward Jones products and processes Demonstrate strong conflict management and problem-solving skills Bachelor's degree or equivalent experience preferred, but not required Insurance license is preferred.
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 Wor
• Phone : NA
• Location : Rolla, MO
• Post ID: 9005508244
