What are the responsibilities and job description for the Department Leader- Advisory HQ Compliance position at Edward Jones?
Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.
Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus : serving the client. And everyone is working to make the firm better together - as they grow as individuals. If these words resonate with you, we should talk.
Job Overview
Position Schedule : Full-Time
In this role, you will lead a team of compliance professionals and attorneys to support the continued growth of Edward Jones' investment advisory business and our commitment to helping serious, long-term investors achieve their financial goals. Your primary responsibilities will focus on maintaining and continually evolving our compliance program for a suite of discretionary and client-directed fee-based advisory offerings currently comprised of 5 million accounts totaling more than $830 billion AUC. You will also be responsible for prioritizing numerous complex efforts simultaneously, while leading your team and partnering with other senior stakeholders to create innovative approaches to successfully achieve optimal solutions for our clients and branch teams. Additionally, you need a growth and adaptability mindset, strong collaboration skills, and the ability to foster meaningful and deep relationships across the organization. You will need to demonstrate strong leadership and achieve results through others.
Responsibility Summary :
- Lead team of attorneys and compliance officers providing wide-ranging guidance & compliance support to peers and leaders throughout EDJ to maintain & evolve the Firm's Compliance programs
- Interprets & continually develop in-depth knowledge of laws, rules & regulations and best practices
- Act as resource for firm strategy, knowledge and interpretation of rules, and potential rule changes as it relates to area of expertise and translate to strategic initiatives within various business areas
- Perform as SME on most advanced topics including tools / client solutions, may include providing expertise for content development and acting as SME for formal training programs
- Responsible for developing associates on the team
- Represent and / or lead department on division and firm committees / projects
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.
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 : $140400
Hiring Maximum : $239100
Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act. Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at : dcba.lacounty.gov / wp-content / uploads / 2024 / 08 / FCOE-Official-Notice-Eng-Final-8.30.2024.pdf .
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Skills / Requirements
Education / Certification :
Functional Knowledge :
Problem Solving :
Decision Making :
Actions (degree of complexity is magnified by the wide array of firm projects and services and the evolving regulatory environment)
Span of Influence :
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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 ()
Read More About Awards & Accolades
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 () .
Fortune 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.
LI-HO
Salary : $239,100
