Senior Compliance Officer

sibilities:**

• Monitor information barriers, associate personal account dealing, and potential conflicts associated with the firm's investment advisory programs, trading operations and other sensitive areas

• Develop and maintain a high level of expertise in current regulatory trends, enforcement actions and topics that may identify potential gaps and/or enhance our surveillance efforts

• Manage risk by detecting and investigating red flags through the use of trade surveillance tools

• Support the resolution of identified risks

• Identify, design and implement process efficiencies to our surveillance system and our surveillance program; adjusting to the addition of new products and surveillance needs

Edward Jones' compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage. Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates. Edward Jones offers a 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account. Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing. All associates are eligible for the firm's Employee Assistance Program. For more information on the Benefits available to Edward Jones associates, please visit our benefits page.

Hiring Minimum: $72700
Hiring Maximum: $119800

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Skills/Requirements

• Bachelor's degree preferred.

• 5+ years securities industry experience with minimum 3+ years in a compliance capacity or surveillance, trading or capital markets experience.

• Series 7, 9, 10. 24 and 66 licenses are required for the position.

• Must be detailed oriented, able to make sound decisions, and able to communicate the practical application of rules and surveillance findings to leaders across the division and firm.

• Resolve complex issues through interpretation and application of industry regulations and firm business practices with limited guidance using seasoned judgment.

• Often leads or carries significant responsibility on projects involving process improvement or analysis of business/regulatory changes.

• Autonomy to apply policy interpretation to individual cases and situations when no established business practice exists. Ability to understand when an issue needs to be escalated for further review or action.

• Collects, analyzes and acts on relevant information to make decisions, considering impact to the firm and/or clients.

• Strong writing, verbal communication and problem-solving skills.

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.

Current INTERNAL home-based associates: While this role is posted as hybrid, if selected and accepted, you may retain your home-based status. Edward Jones intends in good faith to continue offering the role as home-based, though future business or regulatory needs may require on-site work.

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Awards & Accolades

At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received.

Check out our U.S. awards and accolades: Insights & Information Blog Postings about Edward Jones

Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones

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About Us

Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 9 million clients and 20,000 financial advisors across the U.S. and Canada, we're proud to be privately-owned, placing the focus on our clients rather than shareholder returns.

Behind everything we do is our purpose: We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging.

People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start or build your career.

View our Purpose, Inclusion and Citizenship Report.

¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.

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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