Sr Registration Specialist- Compliance

This job posting is anticipated to remain open for 30 days, from 02-Jan-2026. The posting may close early due to the volume of applicants.

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.

• Maintain a high level of expertise of the registration processes.
• Ensure the accuracy of registration data provided to regulators and maintained in firm systems.
• Collaborate with stakeholders to create efficient & effective processes that maximize value & minimize resource needs.
• Work with vendors, regulators, and other external stakeholders to understand changes to regulations including state regulations and the applicability to firm business processes.
• Participate in special projects as assigned. Will represent team as Subject Matter Expert in project efforts. Will lead smaller project efforts.
• Uses system, regulatory and team function expertise to drive necessary upgrades and testing efforts.
• Support peers through daily workflow, escalation resolution, coaching opportunities, and training new associates.
• Understand and apply firm and industry policies and regulations to business decisions.

• Bachelor's degree preferred
• Strong preference for 1-2 years securities industry experience.
• Ability to understand complex compliance and regulatory requirements.
• Sound judgment, problem-solving and decision-making skills.
• Organizational skills to ensure deadlines are met.
• Process management skills.
• Ability to handle exception requests while maintaining compliance with industry regulations.
• Communicate effectively with associates, regulators, branch teams and other departments.
• Strong written and verbal communication skills and ability to deliver negative or sensitive information.

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

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.

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.