What are the responsibilities and job description for the Compliance Officer Rgstr, CMPL position at Edward Jones?
Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 8 million clients and 19,000 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 2023, data as of December 2022. Compensation provided for using, not obtaining, the rating.
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 2023, data as of December 2022. Compensation provided for using, not obtaining, the rating.
The Registration 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. Registration associates are responsible for executing all of the tasks and processes involved in providing and maintaining proper security registration for FAs, BOAs, HQ associates and branch offices. Key Responsibilities:
- Complete Firm Reconciliation daily tasks. Reconcile data between Edward Jones and regulators.
- Work in collaboration with project teams to understand the problem, define the approach, assemble the data, perform the analysis, generate insights, test and present actionable information back to the business.
- Use Excel to merge, cleanse and transform data from multiple sources as needed for research.
- Assist with monthly, quarterly, and annual invoices.
- Assist with Annual Financial Planning for multiple expense reports to include managing and projecting budgets.
- Complete written supervisory reviews.
- Uses knowledge of the industry, regulatory and compliance environment and firm business functions and takes it into account when making decisions.
- Build relationships and collaborate with division stakeholders to identify and prepare for changes impacting clients and branch teams
- Influence and contribute to firm, division or department efforts which could include: Provide training, coaching and feedback to optimally create and maintain a strong learning environment and culture of compliance. Utilize OE/process improvement to organize and facilitate small to mid-size projects and/or act as a subject matter expert.
- Identify and analyze insights and communicate trends to influence solutions that impact the delivery of an ideal client experience
- Promote, support and incorporate the change management philosophy to department and division initiatives
- Employ system thinking and continual improvement to enhance the client experience
- Initiate department improvements and informally run associates through escalations, oversights, projects and/or change.
- Understand and apply firm and industry policies and regulations to business decisions. Communicate with senior leadership across the division and firm.
- Position Requirements :
- Bachelor's degree or equivalent experience required
- Minimum 3 years of compliance experience preferred
- Minimum 3 years of industry experience required
- Proven written and verbal communication skills
- OE or process improvement experience preferred
- Highly experienced in Microsoft Excel
- Experience writing scripts and queries
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
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
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.
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.
