Field Supervision Officer II (Legal)

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.

Do you enjoy putting pieces together to understand the bigger picture and partner 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 choices 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 Officers are registered with FINRA as designated supervisory principals to enforce firm and regulatory compliance rules utilize extensive electronic processing systems and exception reports to complete work and provide support to branch offices regarding client activity, firm policies, and industry regulations.

What You'll Do:

• Review of non-supervisory and basic supervisory client and branch activity to identify fraudulent or manipulative activity.
• Review of electronic communication for branch teams and home office associates.
• Verify account information and accuracy through contacts with our clients and branch teams.
• Identify supervisory issues, trends, and potential concerns in branch activity and effectively communicate them to clients, Financial Advisors, and home office associates.
• Develop and deliver training, coaching and feedback.

• 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 4 months of hire
• What Might Set You Apart:
• Insurance license is preferred
• General understanding of compliance or industry experience is preferred
• One to two years of compliance experience is preferred
• Bachelor's degree or equivalent experience is preferred, but not required
• 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.