Senior Compliance Officer - Compliance Review & Education

Edward Jones Compliance Opportunity

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

Join a dynamic team of Compliance professionals within the Communication Review and Education (CRE) department, whose primary responsibilities are the final principal approval of retail communications as well as internal training content and internal messaging relating to firm business, products, and services. The scope of Communication Review and Education includes firm and branch marketing materials, product partner materials and social media content. In partnership with departments across the firm, CRE ensures that firm communications are fair and balanced, comply with applicable industry rules and regulations and are consistent with the firm's mission and purpose.

What You'll Do

The Senior Compliance Officer will review and provide the final principal approval of retail communications, as well as internal training content and internal messaging relating to firm business, products, and services. The Senior Compliance officer will be responsible for :

• Review of material submitted by branch teams, home office business areas & third party product partners to ensure compliance with regulatory rules & internal policies and procedures
• Review of training materials intended for financial advisors, BOAs, and home office associates
• Promoting a sense of partnership between compliance, branch teams and other business areas
• Routinely providing insights on compliance matters
• Leading or participating in projects
• Assisting in the creation and implementation of new or changed policies and procedures

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.

Hiring Minimum

$72700

Hiring Maximum

$119800

Skills / Requirements

What Experience You Need :

What Might Set You Apart :

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.

About Us

Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500 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.