What are the responsibilities and job description for the Field Supervision Director - Asset & Electronic Communications position at Edward Jones?
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.
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, assist with oversights and monitoring/assignment of work, and effectively create and deliver training & communications for AECS associates.
Key Responsibilities:
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
- 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.
- 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.
- 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 Work®, data as of August 2021. Compensation provided for using, not obtaining, the rating.
- For the 23rd time, Edward Jones has earned a spot on the Fortune 100 Best Companies to Work For® ranking by Great Places to Work® and Fortune® magazine. Edward Jones ranked No. 35 on the prestigious 2022 list.
- 2022 Best Places to Work For LGBTQ Equality, Great Place to Work® in partnership with Human Rights Campaign Foundation, published Equity Magazine January 2022, data as of July 2021. Compensation provided for using, not obtaining, the rating.
- 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.
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.
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:
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.
