What are the responsibilities and job description for the Field Supervision Director - Primary 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 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.
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.
Do you enjoy putting pieces together to know the bigger picture and partnering to solve complex issues? If so, there is an exciting career opportunity waiting for you in our Field Supervision Department!
Description: The Field Supervision Department plays a critical role in achieving the Compliance Division's purpose of promoting our client's best interests and options by partnering to improve our culture of compliance and enable the best experience for all. Our associates are our greatest asset, and the opportunity to increase our client impact is directly related to our success in attracting, retaining, and developing a talented and diverse workforce.
Field Supervision Directors are registered with FINRA as designated supervisory principals to enforce firm and regulatory compliance rules and policies over assigned branch offices. Compliance Field Supervisors utilize extensive electronic processing systems and exception reports to complete the supervision of and provide help to branch offices regarding client activity, firm policies, and industry regulations.
Key Responsibilities:
Description: The Field Supervision Department plays a critical role in achieving the Compliance Division's purpose of promoting our client's best interests and options by partnering to improve our culture of compliance and enable the best experience for all. Our associates are our greatest asset, and the opportunity to increase our client impact is directly related to our success in attracting, retaining, and developing a talented and diverse workforce.
Field Supervision Directors are registered with FINRA as designated supervisory principals to enforce firm and regulatory compliance rules and policies over assigned branch offices. Compliance Field Supervisors utilize extensive electronic processing systems and exception reports to complete the supervision of and provide help to branch offices regarding client activity, firm policies, and industry regulations.
Key Responsibilities:
- Enforce firm and regulatory compliance rules and policies for assigned Branch Teams.
- Prevent, detect, and mitigate risk to clients, the firm, and Branch Teams by examining client account activity, identifying suitability concerns, and evaluating Branch business.
- Judgment making is evidenced in supervisory records and subject to regulatory scrutiny.
- Partner with leadership to provide input and guidance on establishing and maintaining firm WSPs.
- Advance knowledge and expertise of industry regulations and firm policies.
- Consultant on firm offered products, asset allocation strategies, and investment solutions for clients, to ensure alignment with industry regulation and firm investment philosophy.
- Guide Branch Teams in building a successful and compliant business.
- Influence and drive discussion on compliance topics with Branch Teams, Regions, and various stakeholders across the firm.
- Represent the firm through direct contact with clients to discuss account activity and confirm knowledge of risks and benefits in relation to industry regulation and firm investment philosophy.
- Travel may be required for Branch Team supervisory visits, regulatory examinations or events, and compliance related matters.
- 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.
- Series 7 license required that is currently active and held for a minimum of one year
- Series 9, 10, 24, and 66 licenses are required or must be obtained within 4 months of hire
· Insurance license
· General knowledge of compliance or industry experience
· Bachelor's degree in business-related field
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.
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.
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.
