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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.
Annuity Field Supervision Directors (FSD) are registered principals with supervisory responsibility for annuity transactions submitted through assigned branch offices. An Annuity FSD utilizes extensive electronic order systems to complete the supervision of annuity transactions. Additional responsibilities include providing support to branch offices in the areas of annuity purchases and liquidations, industry regulations, and firm policies for annuities.
Key Responsibilities:
Partner with Financial Advisors and branch teams in an effort to assist them in building a successful and compliant annuity business
Conduct review and approval of annuity order activity, including completing commission adjustments in client accounts when appropriate
Coach and educate branch teams on supervisory and compliance issues, best practices, and complex client situations related to annuity products
Routinely contact clients to discuss trade activity within their accounts and to ensure proper disclosures have been made
Communicate potential concerns or supervisory issues to clients, Financial Advisors, home office associates, and industry regulators
Identify trends and patterns in branch activity to determine if follow-up is needed and/or if a situation requires escalation to another area in Compliance
Work in collaboration with internal business areas
At 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. Visit our career site 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:
Hiring Minimum: $70659
Hiring Maximum: $116516
Skills/Requirements
Series 7 license required that is currently active and held for a minimum of one year
Series 9, 10, 24, 63 or 66 and insurance licenses required or must be obtained within four months of hire
Compliance oversight, risk management, or supervisory related experience is strongly preferred
Extensive knowledge of various annuity products including variable annuities, fixed annuities, equity indexed annuities, single premium immediate annuities, and deferred income annuities
Broad knowledge of products, supervisory systems, firm policies, and industry rules and regulations
Must demonstrate strong conflict-management, problem solving and independent decision making skills
Ability to work in a dynamic fast paced environment
Excellent verbal and written communication skills
Bachelor's degree in business-related field is preferred, but not required
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.
Awards & Accolades
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.
About Us
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.
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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